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    Regional Branch Manager - Toronto, Canada - TalentBurst, Inc.

    TalentBurst, Inc.
    TalentBurst, Inc. Toronto, Canada

    Found in: Talent CA C2 - 4 days ago

    Default job background
    Contract
    Description

    Regional Branch Manager


    Location:
    Toronto, Ontario (Remote)

    35 hours/week

    Job Summary
    Performs branch supervisory functions in accordance with regulatory and company requirements. Supervises the activities of Approved Persons engaged in selling mutual funds.


    Responsibilities
    " Pre-trade Know Your Client (KYC) review.
    " Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person is unavailable or it is not feasible for the client to work with the Approved Person.
    " Tier-1 Trade Reviews - Post-trade reviews of transactions.
    " Provide support and act as information resource for Approved Persons.
    " Learn and understand WFGS policies & procedures.
    " Provide direct support to Client and direct to other resource(s) where appropriate.
    " Review and report as required any Approved Persons who may be subject to supervisory [close/strict] requirements, including initial Outside Business Activities (OBAs) in keeping with TSI policies and procedures.
    " Visit branch locations responsible for supervising as required. Some locations may require quarterly visitations.


    Qualifications
    " Two years of compliance experience within an MFDA registered dealer and/or related industry experience.
    " Successful completion of The Investment Funds of Canada Course (IFIC) or The Canadian Securities Course (CSC).
    " Successful completion of The Branch Manager's Examination Course (BM) or The Branch Manager's Course (BMC) and the Officers, Partners and Directors Course (PDO) or Mutual Dealers Compliance Course or other equivalents.
    " Ability to obtain Mutual Fund license as needed.
    " Three years of compliance experience in the financial industry.
    " Experience conducting non-financial audits for firms registered in the securities industry.
    " Knowledge of relevant industry practices, techniques and standards, concepts and principles.
    " Experience in Advisor facing compliance role.
    " Ability to prioritize multiple projects in a fast paced environment.
    " Organizational skills and attention to detail.
    " Communication and interpersonal skills.
    " Results driven and customer focused.

    Preferred Qualifications
    " College diploma and/or university degree.

    Working Conditions
    " Office environment.
    " Extensive travel; daily and for extended periods.

    #TB_EN
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