Wealth Management Registered Supervisor - Vice President
Core
First-Tier supervision of retail accounts, ensuring adherence to business ethics, regulatory compliance, and risk management practices for Financial Advisors.
Role type
Senior IC Wealth Management Registered Supervisor (Vice President)
Builds
Compliant and risk-aware trading and advisory environment for retail clients
Domain
Wealth Management / Financial Services / Regulatory Compliance
Required skills
First-Tier supervision, CIRO rules knowledge, risk management, policy implementation, audit response, people risk monitoring, coaching Financial Advisors
Preferred skills
Complex products experience (Alternative Investments, Structured Investments), French language proficiency
Technologies
CIRO regulatory framework, MSWC policy systems
Responsibilities
Supervise retail accounts including options execution and full-service accounts; Facilitate supervisory inquiries and escalations; Monitor and implement risk management procedures; Support audit preparation and remediation; Coach Financial Advisors on compliance and risk awareness; Oversee policy and procedure manual updates.
Seniority
Senior, hands-on IC with supervisory leadership