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Branch Supervisor
Location:
Mississauga
Description:
Join a dynamic team of Compliance professionals, whose primary responsibility is to support branch teams to ensure their understanding of and adherence to regulatory requirements and expectations: as well as supervise client accounts and branch activities. We are seeking a Branch Supervisor to join our Compliance Department for a 18 month contract. The Branch Supervisor known internally at Edward Jones as Field Supervision Director (FSD) is registered with CIRO (Canadian Investment Regulatory Organization) as a ‘Supervisor'. The primary objective of the FSD is to protect the client, firm, financial advisor, and the industry. The Branch Supervisor must have in-depth knowledge of a broad range of product and services as well as firm and industry policies and regulations. Responsibilities include: Partnering with advisors and branch teams in an effort to assist them in building a successful and compliant business. Day-to-day supervision of accounts, including the ongoing development of, implementation of, and process improvements related to the supervision program. Coach and educate branch teams on supervisory and compliance issues as well as best practices Identify potential issues/trends/patterns with client accounts, taking corrective action where necessary Communicate potential concerns or supervisory issues to clients, advisors, and home office associates Contact clients as required Support and participate in the evolution of the firm's Supervision program. Participate in firm initiatives/projects. 18 Month Contract Position Current registration as a Supervisor with CIRO (Canadian Investment Regulatory Organization) , along with 2-5 years of compliance or supervisory experience with a CIRO dealer member firm. Bachelor's degree preferred, or relevant work experience. Required Courses: Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), and Investment Dealers Supervisors Course (IDSC). Preferred: English/French. Visit ListedBuy for more information.
Company:
Edward D. Jones
Posted:
January 12 on ListedBuy
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Branch Supervisor is a Other Art & Media Jobs Supervisor Job at Edward D. Jones located in United States. Find other listings like Branch Supervisor by searching Oodle for Other Art & Media Jobs Supervisor Jobs.
Branch Supervisor is a Other Art & Media Jobs Supervisor Job at Edward D. Jones located in United States. Find other listings like Branch Supervisor by searching Oodle for Other Art & Media Jobs Supervisor Jobs.