Branch Supervision Specialist, Compliance

Job Description:

• Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements
• Evaluates the strength and effectiveness of supervision and adoption of policies, processes at the branch level and develops actions plans to improve supervision
• Acts as a designee on supervision objectives for the branch
• Provides ongoing supervision education to assigned branch / portfolio
• Provides support and guidance to branch employees on supervision issues
• Conducts independent analysis and assessment to resolve strategic issues
• Supports the execution of strategic initiatives in collaboration with internal and external stakeholders
• Breaks down strategic problems, and analyses data and information to provide insights and recommendations
• Provides approvals for new and updated account, trade transactions and trade amendments
• Conducts reviews of insiders, social media, and outgoing correspondence
• Acts as an escalation point for supervision issues/concerns within the branch
• Manages the registration requirements as required by regulators/ legislation
• Provides input into the planning and implementation of operational programs
• Leads/participates in the design, implementation and management of core business/group processes
• Identifies business needs, designs/develops tools and training programs; may include delivery of training to audiences
• Performs required supervision reviews (delegated tasks) such as Global Relay Email Review, Gateway Message Review, Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review, Outstanding Documentation Review
• Query and Request for Information (RFI) and follows up on outstanding issues
• Performs supervision activities to meet regulatory requirements and maintain service level standards
• Builds effective relationships with internal/external stakeholders
• Ensures alignment between stakeholders
• Follows through on risk and supervision processes and policies to ensure we safeguard our customers’ assets, maintain their privacy, act in their best interests, and ensure an effectively run function
• Protects the Bank's assets and complies with all regulatory, legal and ethical requirements
• Exercises judgment to identify, diagnose, and solve problems within given rules
• Works independently on a range of complex tasks, which may include unique situations

Requirements:

• Typically between 4 - 6 years of relevant experience
• post-secondary degree in related field of study
• Knowledge of all supervision and industry regulations – In-depth
• Must meet the Supervisor licensing and certification requirements under CIRO rules
• Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA) designation preferred
• Technical proficiency gained through education and/or business experience
• Verbal & written communication skills - In-depth
• Collaboration & team skills - In-depth
• Analytical and problem solving skills - In-depth
• Influence skills - In-depth
• Data driven decision making - In-depth

Benefits:

• health insurance
• tuition reimbursement
• accident and life insurance
• retirement savings plans