Regional Branch Manager- WFG

Transamerica•Toronto, ON

35d•$70,000 - $80,000•Hybrid

About The Position

Perform branch supervisory functions in accordance with regulatory and company requirements. Supervise the activities of Approved Persons engaged in selling mutual funds and life insurance products.

Requirements

Two years of compliance experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experience in the financial services industry
Experience conducting non-financial audits for firms registered in the securities industry
Knowledge of relevant industry practices, techniques and standards, concepts and principles
Completion of the Investment Funds in Canada or the Canadian Securities Course, (or obtain within 30 days of hire)
Completion of the Branch Manager’s Course, (or obtain within 30 days of hire)
Completion of Life License Qualification Program (or obtain within 12 months of hire)
Life Insurance License (or obtain within 12 months of hire)
Ability to obtain Mutual Fund license as needed
Ability to prioritize multiple projects in a fast-paced environment
Organizational skills and attention to detail
Communication and interpersonal skills
Results driven and customer focused

Nice To Haves

College diploma and/or university degree

Responsibilities

Pre-trade Know Your Client (KYC) review.
Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
Tier-1 Trade Reviews - Post-trade reviews of transactions.
Provide support and act as an information resource for APs.
Learn and understand WFGS policies and procedures.
Provide support to APs and direct other resources as appropriate.
Review and report as required by any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.
Visit branch locations responsible for supervising as required.

Benefits

Competitive Paid Time Off
Ten (10) paid holidays per year
Ten (10) sick days per year
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave
Adoption Assistance
Employee Assistance Program
College Coach Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs
Peer Recognition Program (BRAVO)
Bonus for Eligible Employees
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
PTO for Volunteer Hours
Employee Matching Gifts Program