Take on a pivotal role at Transamerica as a Branch Supervisor focusing on regulatory compliance in Toronto. Leverage your experience in mutual funds and life insurance while guiding Approved Persons within a hybrid environment.
This supervisory position requires two years of compliance experience within the financial services sector. You will oversee pre-trade Know Your Client reviews and support clients in transactions when needed. Your role will also involve tier-1 trade reviews and ensuring adherence to WFGS policies. Building strong communication and organizational skills will be essential in this dynamic setting.
Key Responsibilities:
• Conduct KYC reviews for approved persons
• Facilitate transactions in licensed capacity when needed
• Review post-trade transactions thoroughly
• Act as a resource for Approved Persons
• Ensure compliance with WFGS policies and procedures
Requirements:
• Minimum of two years compliance experience
• Knowledge of industr...