Job Description:
Supports sales supervision activities and regulatory activities for designated Nesbitt Burns branches to meet all regulatory requirements.
Acts as a designee on supervision objectives for the branch.
Provides ongoing supervision education to assigned branch / portfolio.
Provides support and guidance to branch employees on supervision issues.
Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
Identifies, reports and manages all supervision issues and irregularities according to guidelines.
Supports applicable supervision responsibilities as per guidelines.
Performs required daily/monthly supervision reviews, including reviewing branch reports.
Performs required supervision reviews (delegated tasks) such as Global Relay Email Review, Gateway Message Review, Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review, Outstanding Documentation Review. Query and Request for Information (RFI) and follows up on outstanding issues.
Executes work to deliver timely, accurate, and efficient service.
Performs supervision activities to meet regulatory requirements and maintain service level standards.
Builds effective relationships with internal/external stakeholders.
Ensures alignment between stakeholders.
Follows through on risk and supervision processes and policies to ensure we safeguard our customers assets, maintain their privacy, act in their best interests, and ensure an effectively run function.
Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.
Focus may be on a business/group
Thinks creatively and proposes new solutions.
Exercises judgment to identify, diagnose, and solve problems within given rules.
Works mostly independently.
Broader work or accountabilities may be assigned as needed.
We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to
HR@insightglobal.com.
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https://insightglobal.com/workforce-privacy-policy/ .
1-3 years financial Service experience - ideally in investing / auditing
Previous knowledge of all supervision and industry regulations Good.
Verbal & written communication skills - In-depth.
Collaboration & team skills - In-depth.
Analytical and problem solving skills - In-depth.
post-secondary degree in related field of study or an equivalent combination of education and experience.
Canadian Security Course
Supervisor License
Audit experience
Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.