Compliance/Tier1 Supervision-(Regional Branch Manager)- WFG

Job description

Accountabilities Conduct pre-trade Know Your Client (KYC) reviews to ensure client information is complete, accurate, and compliant with regulatory requirements. Perform Tier-1 post-trade supervision and transaction reviews to identify and address potential compliance concerns. Interact directly with clients in a licensed capacity when necessary to facilitate transactions and maintain service continuity. Provide guidance, support, and regulatory expertise to Approved Persons (APs) regarding compliance requirements, policies, and procedures. Monitor and report on advisors subject to supervisory requirements, including the review of Outside Business Activities (OBAs) in accordance with established policies. Maintain a thorough understanding of compliance frameworks, industry regulations, and internal supervisory standards. Conduct branch visits and supervisory reviews to assess adherence to regulatory and operational requirements. Serve as a trusted resource for advisors by directing them to appropriate tools, resources, and compliance solutions. Requirements Minimum of 2 years of compliance experience with a CIRO-registered dealer or equivalent experience within the financial services industry. Experience conducting compliance, supervisory, or operational audits within regulated financial services environments. Strong knowledge of securities industry regulations, supervisory practices, and compliance standards. Completion of the Investment Funds in Canada (IFC) course or the Canadian Securities Course (CSC), or the ability to obtain certification within 30 days of hire. Completion of the Branch Manager's Course, or the ability to obtain certification within 30 days of hire. Completion of the Life License Qualification Program (LLQP) and Life Insurance License, or the ability to obtain both within 12 months of hire. Ability to obtain a Mutual Fund license as required. Excellent organizational skills with the ability to manage multiple priorities in a fast-paced environment. Strong communication, interpersonal, analytical, and problem-solving skills. Results-oriented mindset with a commitment to delivering exceptional client and advisor support. College diploma and/or university degree considered an asset. Willingness to travel occasionally for branch supervision and review activities. Benefits Competitive annual salary ranging from CAD $70,000 to $80,000. Hybrid work arrangement. Comprehensive paid time off program. Ten paid holidays per year. Ten paid sick days annually. Wellness program including coaching and wellness rewards. Parental leave benefits. Adoption assistance program. Employee Assistance Program (EAP). College Coach Program. Employee Resource Groups and inclusion initiatives. Employee recognition and peer recognition programs. Referral bonus opportunities. Career development and professional growth support. Access to a collaborative and inclusive work environment. How Jobgether works: We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team. We appreciate your interest and wish you the best! Why Apply Through Jobgether? Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time. #LI-CL1 This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Compliance/Tier1 Supervision (Regional Branch Manager) - WFG in Canada. This role offers an exciting opportunity to contribute to a highly regulated financial services environment by ensuring compliance with industry standards and internal policies. As a key member of the supervision team, you will oversee branch activities, support financial advisors, and help maintain a strong culture of regulatory excellence. The position combines compliance oversight, advisor support, and client interaction, providing broad exposure to operational and supervisory functions. You will collaborate with professionals across multiple locations while helping protect clients and uphold industry integrity. This is an ideal opportunity for a detail-oriented compliance professional who enjoys balancing regulatory responsibilities with relationship management. The role offers a dynamic, hybrid work environment with opportunities for professional growth and industry certification.