Join as a Regional Branch Manager at WFG Securities, located in Toronto, ON, where your leadership will ensure compliance in the sales of mutual funds and life insurance. This hybrid role offers qualified growth opportunities.

As a Regional Branch Manager, you will supervise branch operations and oversee Approved Persons, ensuring they meet company and regulatory expectations. Solid compliance and organizational skills will be key in facilitating transactions and providing support to your team. Regular visits to branch locations will enhance team engagement and performance.

Key Responsibilities

• Conduct compliance-focused Pre-trade KYC reviews
• Support clients when Approved Persons are unavailable
• Execute post-trade reviews of transactions
• Serve as an information resource for your team
• Ensure adherence to company policies in supervision

Requirements

• Two years of experience in compliance with...