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

Job Description Summary

Perform branch supervisory functions in accordance with regulatory and company requirements. Supervise the activities of Approved Persons engaged in selling mutual funds and life insurance products.

Responsibilities

• Pre-trade Know Your Client (KYC) review.
• Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
• Tier-1 Trade Reviews – post-trade reviews of transactions.
• Provide support and act as an information resource for APs.
• Learn and understand WFGS policies and procedures.
• Provide support to APs and direct other resources as appropriate.
• Review and report as required by any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.