Operations Director for Introducing Broker
Mandeville Private Client Inc. • burlington, Canada
Role Description
Lead operational excellence as the Operations Director at Mandeville, overseeing Type 2 and 3 Introducing Broker functions. Drive compliance, relationship management, and operational frameworks every day.
Mandeville is seeking a knowledgeable Operations Director to enhance its Introducing Broker services. This role requires a hands-on approach to ensure adherence to CIRO regulations and the integration of technology with operational systems. Key skills include strong management experience, regulatory knowledge, and the ability to support Investment Advisors in, transitioning client accounts efficiently.
Key Responsibilities:
• Oversee operational framework supporting Type 2 and Type 3 models
• Ensure accuracy and compliance in back-office processes
• Guide investment advisors in transitioning client accounts
• Develop comprehensive policies for operational controls
• Maintain operational resilience and regulatory compliance
Requirements:
• 5-7 years in manage...
Mandeville is seeking a knowledgeable Operations Director to enhance its Introducing Broker services. This role requires a hands-on approach to ensure adherence to CIRO regulations and the integration of technology with operational systems. Key skills include strong management experience, regulatory knowledge, and the ability to support Investment Advisors in, transitioning client accounts efficiently.
Key Responsibilities:
• Oversee operational framework supporting Type 2 and Type 3 models
• Ensure accuracy and compliance in back-office processes
• Guide investment advisors in transitioning client accounts
• Develop comprehensive policies for operational controls
• Maintain operational resilience and regulatory compliance
Requirements:
• 5-7 years in manage...