Description

• 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

Salary range:
$60,000 – $115,000

Recommended courses:
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