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    Supervisor Asset Management - Mississauga, ON, Canada - Investment Planning Counsel

    Investment Planning Counsel
    Investment Planning Counsel Mississauga, ON, Canada

    2 weeks ago

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    Description
    Designated Supervisor, Managed Accounts - IPCC Corporate Designated Supervisor, Managed Accounts — Compliance
    Investment Planning Counsel (IPC) is one of the fastest growing independent wealth management companies in Canada.

    We are a diverse group of people all driven towards one goal:
    helping advisors build a better business through a remarkable client experience.

    The area of Regulatory Compliance & Risk Management ensures that IPC Securities Corporation (IPCSC) is meeting all industry and firm regulations.

    IPCSC is a member of the Canadian Investment Regulatory Organization (CIRO).

    The Designated Supervisor of Managed Accounts is primarily responsible for supervising the managed account activities of the compliance team.

    Additionally, the Designated Supervisor of Managed Accounts is responsible for supporting an efficient and effective compliance program to help ensure the firm and Portfolio Managers/Associate Portfolio Managers adhere to all regulatory requirements, industry rules, and internal policies and procedures.

    What is the role of the Designated Supervisor Managed Accounts?
    Perform daily trade and comprehensive quarterly reviews of client portfolios in accordance with Investment Policy Statements and the firm's policies and procedures
    Ensure branch level supervision is performed and compliance procedures are met for anti-money laundering, privacy, and other related federal and provincial regulatory requirements
    Perform detailed, more comprehensive supervision on assigned Advisors from time to time as required by the head office Compliance team
    Respond to supervisory and compliance-related questions from Advisors and branch office teams
    Proactively participate in the development of supervision and review systems for new managed account programs
    Participate in various compliance projects, assignments and initiatives as directed by the Chief Compliance Officer
    Participate in the development and delivery of training materials and programs to existing IPCSC advisors and branch managers
    Monitor for appropriate controls and other areas of potential risk and/or fraud
    Current Registration with CIRO as a Designated Supervisor of Managed Accounts
    Options Licensing required; Five years IIROC experience as a Compliance Officer in a branch or head office/corporate setting
    Familiarity with National Bank Independent Network (NBIN) back-office systems, procedures and reports an asset
    Awesome support in providing industry-leading training to help you succeed in your role
    Awesome community involvement opportunities through IPC Cares

    Awesome perks:
    benefits that fit your needs, pension, share purchase plan, corporate discount plans, social events, summer hours, and fun
    If you require a French version of this job posting, please click here
    #
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