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

Job Description

The Branch Compliance Officer will perform supervisory functions in accordance with regulatory and company requirements, overseeing Approved Persons (APs) 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 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.
• Visit branch locatio...