Compliance​/TierSupervision-(Regional Branch Manager- WFG

Job Summary

Branch Supervisor – Regulatory Compliance. Perform supervisory functions and oversee Approved Persons that sell mutual funds and life insurance products in the Toronto, ON market.

• Pre‑trade Know Your Client (KYC) review of new and existing approved persons.
• Interact with clients in a licensed capacity to facilitate transactions when an Approved Person is unavailable or it is not feasible for the client to work with the Approved Person.
• Tier‑1 Trade Reviews – Post‑trade review of transactions.
• Provide support and act as an information resource for Approved Persons.
• Learn and understand WFGS policies and procedures and provide support to Approved Persons and direct other resources as appropriate.
• Review and report as required by any approved person who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.
• Visit branch locations responsible for supervising as required.

• Two years of compliance experience with a CIRO registered dealer or related experience in the financial services industry.
• Experience conducting non‑financial audits for firms registered in the securities industry.
• Knowledge of relevant industry practices, techniques and standards, concepts and principles.
• Completion of the Investment Funds in Canada or the Canadian Securities Course (or obtain within 30 days of hire).
• Completion of the Branch Manager’s Course (or obtain within 30 days of hire).
• Completion of Life License Qualification Program (or obtain within 12 months of hire).
• Life Insurance License (or obtain within 12 months of hire).
• Ability to obtain Mutual Fund license as needed.
• Ability to prioritize multiple projects in a rapid‑paced environment.
• Organizational skills and attention to detail.
• Communication and interpersonal skills.
• Results driven and customer focused.

• College diploma and/or university degree.

• Hybrid position – Toronto, ON.
• Occasional travel