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About the Role
The WCA is a resource for the Branch Management Team and Advisor teams regarding industry regulations, requirements, and best practices. This role is part of a centralized supervision team, reporting into National Sales. The WCA ensures the region meets all compliance requirements as the delegate for compliance and risk operations, and provides advice and guidance on Compliance-related policies and processes to branch management teams. The role supports the development of risk mitigating measures, controls, independent challenges, and remediation plans, ultimately enhancing profitability, client experience, and reputation.
Responsibilities
- Support escalations and resolution on issues driven out of the daily and monthly tier-one account activity of clients, and employees
- Review & approval of all new account documentation for suitability
- Execution of Trading correction review and approvals
- Conduct of email surveillance and social media reviews
- Conduct New Issues/Private Placement/Syndication process approvals
- Offer guidance on compliance policy and procedure and support to advisors and their team members
- Effectively communicate concerns or requirements and ensure that IA teams are following company and regulatory policies and procedures
- Builds effective relationships with internal stakeholders
- Liaise with various departments (i.e. Operations, Compliance, Human Resources, Marketing, Products and Services, IT and Credit) on Compliance related issues where required
- Review advisor marketing practices and collaborate with the Marketing team to ensure proper approvals
- Work with Branch Manager &/or Assistant Branch Manager to manage complaints, while working with Risk & Compliance along with Legal to resolve
- Facilitate and participate in regular conversations with Branch Managers, National Sales, and Chief Risk Officer to share information and discuss common compliance-related issues/concerns
- Play a key leadership role in helping to train, develop and enforce policy/procedure for compliance within the region to ensure alignment with firm strategy
- Communicate effectively within the region to ensure the strength and effectiveness of compliance and adoption of policies, processes at the branch level and develop action plans to improve compliance and overall compliance review results
- Act as 1st level point of escalation for compliance issues, escalating to ABM and BM when applicable
- Participate in audits and compliance reviews as assigned and conduct follow up and coaching as required
- Apply expertise and think creatively to address unique or ambiguous situations and work with key internal stakeholders to find solutions to problems that can be complex and non-routine
- Develop and maintain front office process and procedures database, ensuring documentation is accurate, accessible, and aligned with operational standards
- Collaborate on cross functional project teams, contributing insights, tracking deliverables, and supporting successful implementation of initiatives
- Provide specialized support for complex accounts, including compliance reviews, marketing oversight, trade corrections, and email surveillance to ensure adherence to regulatory and firm policies
- Support onboarding and training for new recruits, assisting with account approvals, system navigation, and procedural education to promote a smooth transition into the organization
Requirements
- Excellent communication skills - written and oral (proficiency in French is a must)
- In-depth relationship management skills, including problem solving, mediation and leadership
- Strong attention to detail and analytical skills, meticulous with the ability to prioritize and solve problems
- 5-10 years of experience in Compliance or related experience at a CIRO regulated investment dealer
- Proficiency with Dataphile is an asset
- Proficiency with CRM System (Sales Force) is an asset
- Proficiency with PortfolioAid is an asset
- Proficient with Microsoft Office Suite
- Exercise good judgment of regulations and supervisory issues
- Ability to be proactive and communicate change in a fast-paced industry
- Travel may be required
Skills
- French language proficiency
- Relationship management
- Problem solving
- Mediation
- Leadership
- Attention to detail
- Analytical skills
- Prioritization
- Dataphile proficiency
- CRM System (Sales Force) proficiency
- PortfolioAid proficiency
- Microsoft Office Suite proficiency
- Regulatory judgment
- Supervisory issue judgment
- Proactive communication
- Change communication
Work Type
- Temporary
Experience Level
- 5-10 years
Education Level
- Post-secondary degree preferred
- Completion of Derivatives Fundamentals Course (DFC)
- Completion of Options Licensing Course (OLC)
- Completion of Branch Managers Course (BMC)/Investment Dealer Supervisor Course (IDSC)
- Completion of or working toward Option Supervisor Course (OPSC)
- Licensed as Investment Representative or Registered Representative (RR) and Supervisor with CIRO
Salary/Compensations
- $90,000-$110,000