IIROC SUPERVISOR

Wellington-Altus Private Wealth Inc. 

 

Role Description:

  • The Supervisor is registered with the Investment Industry Regulatory Organization of Canada (IIROC) to supervise the activities of all registrants of the firm.
  • The Supervisor reports to the Manager, Compliance & Supervision.

 

Responsibilities & Activities:

  • Conducting tier 1 and tier 2 supervision activities including; reviewing and approving daily and monthly trade reports, account opening and KYC updates, outside business activities and email and social media monitoring.
  • Supporting Wellington-Altus registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
  • Managing regulatory obligations and commitments, such as; 30-day/90-day training programs, new registrant supervision as well as close supervision.
  • Participating in internal compliance reviews or external regulator audits conducted at Head Office or the branches.
  • Continually look for ways to improve the firm’s system of compliance and supervision. Continually look for ways to improve the firm’s system of compliance and supervision.
  • Perform other duties as may be assigned.

 

Educational & Industry Requirements:

  • Bachelor’s degree in business administration, finance, or similar field of study.
  • Successful completion of the proficiency requirements for a Supervisor, including; Canadian Securities Course, Conduct and Practices Handbook, Branch Managers Course and Effective Management Seminar.
  • Minimum of 5 years relevant experience, preferably all of which working for a Dealer Member.
  • Successful completion of CFP or equivalent would be an asset.
  • Successful completion of Derivatives Fundamentals, Options Licensing and Options Supervisor Courses would be an asset.

 

Knowledge, Skills, & Abilities:

  • In-depth knowledge of the financial services industry, including understanding of regulatory requirements of IIROC and other regulators.
  • Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple tasks and handle stress in a fast-paced environment.
  • Excellent interpersonal and communication skills.
  • Proven analytical and problem solving skills.
  • Proficiency in Microsoft Word and Excel.

To apply, please email your resume to careers@wprivate.ca