Branch Manager/Compliance Officer (Regulatory Supervisor)
at Aligned Capital Partners Inc
Burlington, ON, Canada -
| Start Date | Expiry Date | Salary | Posted On | Experience | Skills | Telecommute | Sponsor Visa |
|---|---|---|---|---|---|---|---|
| Immediate | 12 Feb, 2025 | Not Specified | 14 Nov, 2024 | N/A | Investment | No | No |
Required Visa Status:
| Citizen | GC |
| US Citizen | Student Visa |
| H1B | CPT |
| OPT | H4 Spouse of H1B |
| GC Green Card |
Employment Type:
| Full Time | Part Time |
| Permanent | Independent - 1099 |
| Contract – W2 | C2H Independent |
| C2H W2 | Contract – Corp 2 Corp |
| Contract to Hire – Corp 2 Corp |
Description:
Aligned Capital Partners Inc. (ACPI) is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a full–time Branch Manager/Compliance Officer (Regulatory Supervisor) to join our Business Integrity compliance team in Burlington.
POSITION OVERVIEW
In this role, the successful candidate will provide Tier 1 supervision for an assigned group of Advisors and ensure that their business practices are in compliance with applicable securities regulatory requirements as well as ACPI supervisory and compliance policies and procedures. Our Business Integrity compliance team takes great pride in our in-depth understanding of the IIROC regulatory environment, taking a collaborative and coaching approach to provide this expertise to Advisors.
Responsibilities:
- Overall supervisory responsibility for an assigned group of ACPI registered individuals and business locations under their supervision
- Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by ACPI Senior Management
- Review and approve Managed account Openings and KYC updates
- Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements
- Escalate any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to ACPI Senior Management
- Review and provide pre-approval for all Sales Communications for Advisors under supervision
- Work collaboratively with ACPI’s Client Experience team to provide guidance to Advisors under supervision on ACPI’s compliance policies
- Provide regular support to Advisors, respond to ad hoc Advisor requests with value-added information, ideas and solutions
REQUIREMENT SUMMARY
Min:N/AMax:5.0 year(s)
Financial Services
Accounts / Finance / Tax / CS / Audit
Finance
Graduate
Proficient
1
Burlington, ON, Canada
