Regional Supervisor

Salary Range: $85,000 - $95,000

Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships – we achieve this by generating value for our individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services.

We are a leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions.

We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking. We’re looking for talented people who thrive in a fast-paced environment and want to have an impact with innovative ideas and best practices.

Come be a part of our Canadian success story and help deliver superior experiences for our clients. At CG, we recognize that diversity across our business strengthens our client relationships and enables more innovative solutions. We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. CG provides an accessible candidate experience.

If you need any accommodations throughout the interview process and beyond, please let us know.

Our Canadian operation, Canaccord Genuity Corp., is currently looking for a Regional Supervisor to join their team in Toronto. This role will report to the Managing Director, Wealth Management & Branch Manager Branch and will be actively involved in supporting the demands of our provincial branches.

• Act as first point of escalation for Compliance issues escalating to Branch Manager when applicable.
• Deal with client calls as they arise, both corporate and Wealth Management.
• Perform additional administrative duties as required.
• Responsible for Daily & Monthly Compliance reviews:
  • Daily trade reports
  • Protegent alerts
  • Monthly PRO accounts
  • Fee based accounts
  • Restricted accounts
  • High risk accounts
  • Concentration reviews
  • Pending documentation reviews
• Responsible for review & approval of:
  • New accounts & KYC Updates to ensure documentation is accurate and suitability requirements are met.
  • All Option accounts
  • Marketing materials submitted by IA teams
  • Trade corrections/errors
  • Cheque /wire requests including third party payments
  • Third party deposits
  • Outside Activity (“OA”) requests
  • Share certificate deposits
  • Non-Brokered Private Placements for conflicts and suitability
  • Address change requests
  • New referral arrangement requests and ongoing monitoring of the arrangement
  • New Joint IA code requests
• Perform spot check to identify if any individual or client has Trading Authority or Power of Attorney over non-related client accounts.
• Registration review and validation (for Canada and USA) to ensure that IAs have the same proficiencies and that they are registered in the same province as their clients.
• Perform regular spot checks of titles & designations on:
  • Email signatures, business cards, social media accounts and websites.
• Insider/significant shareholder review and validation:
  • Financial plan reviews.
  • Hold mail reviews.
  • Leverage account reviews.
  • Annual Outside Activities review.
  • Preliminary prospectus log maintenance.
• Other Supervisory reviews as required:
  • Review credit reports including margin calls and debit balances to ensure cash requirements are met.
  • Review incoming/outgoing mail.
  • Review email correspondence that has been flagged for escalation.
  • Review trading conduct of those under close or strict supervision.
  • Review credit reports including margin calls and debit balances to ensure cash requirements are met.
• Ensure cheque handling at the Branch (deposits & pick ups) is in line with CG requirements.
• Spot check weekly CRM reports ensuring that suitability assessments are completed as…