- Responsible for conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm’s policies and procedures.
- Responsible for identifying non-compliant conduct, breaches, and violations.
- Responsible for taking the appropriate steps, following up, and escalating matters in order to ensure corrective action is effected.
- Conduct branch audits within the coverage area.
- Provide training, guidance, and support to the branches on regulatory initiatives.
Key skills or attributes
- Meticulous and rigorous
- Intelligent and articulate
- Astute and discerning
- Excellent communicator
$60,000 – $115,000
Officers’, Partners’ and Directors’ Course (OPD)
Ethics and Professional Conduct Course (EPC)
Branch Managers’ Examination Course (BM)
Canadian Investment Funds Course (CIFC)
Exempt Market Proficiency Course (EMP)
Exchange-Traded Funds Course