Regional Supervisor

Position Overview

Regional Supervisor – Wealth Management, Toronto.

Salary Range

$85,000 - $95,000 per year.

Responsibilities

• Act as the first point of escalation for Compliance issues and communicate with the Branch Manager when necessary.
• Handle client calls (corporate and Wealth Management) as they arise.
• Perform additional administrative duties as required.
• Conduct daily and monthly Compliance reviews:
  • Daily trade reports
  • Protegent alerts
  • Monthly PRO accounts
  • Fee‑based accounts
  • Restricted accounts
  • High‑risk accounts
  • Concentration reviews
  • Pending documentation reviews
• Review and approve:
  • New accounts and KYC updates to ensure documentation and suitability requirements are met.
  • All Option accounts.
  • Marketing materials submitted by IA teams.
  • Trade cor...