Branch Compliance Supervisor Jobs

Participate in all areas of employee management

Complete sales calls with Management Trainees to further their development

Good supervisory and strong communication skills

Exceptional interpersonal and relationship building skills

Strong organizational skills with the ability to multi-task

Ability to manage stressful or unusual situations to maintain good customer service

Identifies and escalates all irregularities and discrepancies to management and compliance as per guidelines.

Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.

Broader work or accountabilities may be assigned as needed.

Typically between 3 - 5 years of relevant experience and post-secondary degree in the Financial Industry

Branch Compliance Officer (BCO) certification - must be completed or in progress (must be completed within 6 months).

Verbal & written communication skills - Excellent

Knowledge and Experience that are assets:

Work closely with regulators and third parties to coordinate, prepare and manage audits, examinations and reviews.

Act as a key resource for business units of company and regulatory business conduct compliance requirements

In-depth knowledge of the Canadian securities industry, including SRO and CSA regulations

3+ years related experience required preferably in a compliance or audit role

Experience in Compliance Programs including administering formal audits

6+ years – Experience in enterprise risk management and vendor risk management

Create and continuously improve various vendor risk management standards (i.e., third party incident monitoring templates, monitoring guidelines).

Assess resource requirements and determine a feasible approach to skill-mix working in conjunction with key stakeholders.

Enterprise risk management best practices and controls.

Exposure to risk management oversight activities.

Project Management, Relationship & Engagement: (45%)

•Prepare weekly and monthly ad-hoc reporting summaries of follow-ups and deficiencies to compliance management.

•Participate in the development and delivery of educational materials and programs to registered Advisors.

oWill at a minimum require Branch Manager Designation

oAdditional proficiencies may be required depending on legislation requirements

Minimum 2 years with a mutual fund or securities license, Branch manager course

Example: Excellent verbal and written communication skills, good computer skills

Experience or knowledge of insurance, automobile or parts industries, and general mechanical knowledge would be considered an asset.

2+ years of Supervisory experience

Basic skills in using the Microsoft Suite (Excel, PowerPoint, Word, Outlook)

What do we have to offer?

Responsible for creating and maintaining a safe, engaged, and positive work environment.

Ensuring compliance with operational standards

Recruitment, training, development, and performance management.

Provide information to management on budget needs and monitor expenditures.

Leadership skills acquired through experience supervising staff or leading work teams, preferably in a unionized environment.

recruitment, training, development, and performance management.

Support the activities of the Manager of Corporate and Community Safety.

Provide weekly work plans and updates to the Manager of Corporate and Community Safety.