COMPLIANCE AND TRAINING OFFICER (WEALTH MANAGEMENT)
Our Staff are committed to providing World-Class financial services wherever our members are and whenever they need us.
THE POSITION: Reporting to the AVP, Wealth Management, this position will provide investment-dealer related compliance duties as well as product training, sales support, Univeris and knowledge exchange support to applicable wealth representatives.
Responsibilities will include:
Supervise sales activities of mutual fund representatives in accordance with applicable regulations
Act as a partner in providing advice to wealth managers on sales compliance activites
Perform field and remote audits to ensure compliance with regulatory and corporate policies and procedures
Ensure representatives are knowledgeable and have a strong understanding of our product offerings
PREFERRED HIRING CRITERIA:
Post-secondary education in a related field and/or completion of Canadian Investment Fund Course, Canadian Securities Course, and Branch Compliance Officer Course; two to five years registration as a salesperson (MFDA or IROC), trading partner, director or Compliance Officer, or equivalent combination of education and experience.
Proficiency of computer software including MS Office 2013, Univeris and Plan Plus
The successful candidate will demonstrate efficiency and accuracy skills, be decisive and results oriented, meeting deadlines in an ever-changing fast paced environment