Job Order Detail

Description

Funds Direct Canada Inc. is a small local mutual fund dealership (MFDA) looking for a compliance branch manager to satisfy daily, quarterly and annual compliance requirements.

The responsibility of the candidate is to perform daily supervisory functions over all Advisors under FDCI, ensuring appropriate supervision is performed and evidence of such supervision is maintained, in accordance with MFDA Rules. The candidate  is also responsible for delivering advisor training and support to ensure that they fully understand the requirements, rules, policies and by-laws of the MFDA and Compliance Bulletins.

Other duties include but are not limited to: Daily NAAF, KYC and Trade Approval and Marketing Approvals as received
Monitoring for compliance with MFDA standards of conduct
Following up, monitoring and tracking inquires and/or deficiencies, taking corrective action where required
Provide regular and ad-hoc reporting to Compliance Management

Professional Experience - Experience within the Financial Industry, within an MFDA or IIROC dealership preferred

Education Requirements   Canadian Securities Course (CSC), Conduct and Practices Handbook (CSI), Branch Manager (CSI) and/or IFSE equivalents is PREFERRED. Must be willing to take courses if you do not currently have them.

Position could be part-time or full-time depending on the candidate.