Key skills
Stakeholder ManagementCommunicationNegotiation
About this role
Role Overview
- Responsible for Tier 1 supervision, approval of trade reports
- Review and approve new accounts and KYC updates
- Communicate with advisor teams regarding compliance inquiries
- Assist with investigations related to complaints and regulatory inquiries
- Perform daily, monthly, and quarterly trade, suitability, and exception reviews
- Handle complex supervisory items and document decisions
- Monitor KRIs/KPIs and drive continuous improvement
- Mentor and support Field Supervision Associates
Requirements
- 5-7 years of CIRO dealer supervision or related compliance experience
- Registered as a Supervisor and Registered Representative with CIRO
- Completion of CSC, CPH, Investment Dealer Supervisors Courses
- Ability to be registered as a Supervisor with CIRO
- Strong knowledge of the financial services industry and Canadian Regulatory framework
- Exceptional communication, stakeholder management, negotiation, and influence skills
- Strong analytical judgment with experience handling complex escalations and remediation
Benefits
- Health insurance
- Dental insurance
- Mental health support
- Vision insurance
- Short
- and long-term disability
- Life and AD&D insurance coverage
- Adoption/surrogacy benefits
- Wellness programs
- Employee/family assistance plans
- Retirement savings plans
- Generous paid time off including holidays, vacation, personal, and sick days