Job Family
Regulatory Compliance

Job Description Summary
Perform branch supervisory functions in accordance with regulatory and company requirements. Travel to branch locations, conduct regulatory supervision and facilitate training to ensure Approved Persons (APs) are adhering to regulatory and company requirements.

Job Description

Responsibilities
• Travel to branch locations and conduct supervisory reviews. Provide timely report and updates to key stakeholders.
• Collaborate with Regional Branch Managers to identify training opportunities. Deliver agreed upon training to branch location APs.
• Supervision of AP sales transactions.
• Interact with clients (in a licensed capacity) to facilitate transactions when AP is unavailable.
• Provide supervision support and act as an information resource for APs and RBMs.
• Provide advanced level application of knowledge regarding WFG Securities Inc. policies and procedures and regulatory guidance to ensure compliance.
• Enhanced supervision of APs who may be subject to regulatory or internal supervision.
• Participate in special projects as assigned. Engage in department projects as required and provide support to other areas within WFG.

Qualifications
• Five years experience in the insurance/financial services industry
• Two years of compliance and/or supervision experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experience in the financial services industry
• In-depth experience conducting supervision reviews and/or audits for firms registered in the financial industry. Sound judgement and decision-making skills to manage complex situations/topics in a professional manner.
• Ability to travel daily and for extended periods to branch locations throughout Canada
• Strong knowledge of relevant industry practices, techniques and standards, concepts and principles
• Ability to prioritize multiple tasks in a fast-paced environment
• Effective organizational skills and sharp attention to detail
• Outstanding written and verbal communication skills
• Strong relationship management skills to build and maintain relationships with APs and team members.
• Ability to maintain composure and professionalism while communicating challenging news/decisions.
• Results driven and exemplary customer focused mindset
• Valid driver's license
• Completion of all required licenses to supervise mutual fund transactions in Ontario. Must be mutual fund or securities licensed and have Branch Manager proficiency. (reactivate or obtain within 60 days of hire)
• Completion of Life License Qualification Program and Life Insurance License (or obtain within 12 months of hire)

Preferred Qualifications
• College diploma and/or university degree
• Experience within financial services industry

Working Conditions
• Hybrid with 50% travel to branch location

Compensation

The salary for this position generally ranges between $82,000 - $92,000 (CAD) annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Please note that this position is currently vacant within the Company. Artificial Intelligence will be used to preliminarily screen potential candidates for this vacancy, but it will not be used to assess - or ultimately select - any applicant for the vacancy

Canadian Health and Work/Life Balance Benefits:

• Competitive Paid Time Off
• Ten (10) paid holidays per year
• Ten (10) sick days per year
• Vitality Wellness Program
• Parental Leave
• Adoption Assistance
• Employee Assistance Program
• College Coach Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs
• Peer Recognition Program (BRAVO)

This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

• Competitive Pay
• Bonus for Eligible Employees

Benefits Package

• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave - fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance Program
• Back-Up Care Program
• PTO for Volunteer Hours
• Employee Matching Gifts Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs