Associate Branch Manager
Peak Associates Limited
Niagara Falls, ON
23d ago

We are currently looking for an Associate Manager, IIROC Supervision to join our Compliance team. The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting mutual fund and investment dealers, including rules, policies and by-

laws of the self regulatory organizations (IIROC / MFDA), provincial securities commissions, insurance commissions / councils and other regulators.

The Department works closely with Distribution Leadership and other management to develop appropriate corporate policies, identifies and promotes good business practices, executes business review programs to monitor sales practices, manages client complaint resolution processes and conducts branch examination programs.

The Associate Manager, IIROC Supervision is registered to supervise the activities of Consultants and Securities Specialists.

Responsibilities include :

  • Conducts tier 1 supervision review activities including; daily trading, leverage investments, client file reviews, account approvals and service-
  • related complaint resolution.

  • Supports Consultants and Securities Specialists in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
  • Manages regulatory obligations and commitments, such as the 90-day training program, 6-month supervision, periodic on-
  • site sub-branch visits, continuing education, as well as close supervision.

  • Identifies training requirements, implements and coordinates the delivery of training programs.
  • Participates in internal compliance reviews or external regulator audits conducted in Head Office or Branch / Sub-Branch office locations.
  • Qualifications :

  • 7+ years of experience in a compliance-related environment.
  • Post-secondary degree or diploma in a relevant business discipline.
  • Must qualify to be registered with IIROC as a supervisor (including completion of the Branch Managers Course).
  • Strong verbal and written communication skills.
  • Proven analytical and problem solving skills. Well developed organizational skills with the ability to prioritize, perform multiple tasks, deal with interruptions and meet deadlines.
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