Job Summary

Branch Supervisor – Regulatory Compliance. Perform supervisory functions and oversee Approved Persons that sell mutual funds and life insurance products in the Toronto, ON market.

Responsibilities

• Pre‑trade Know Your Client (KYC) review of new and existing approved persons.
• Interact with clients in a licensed capacity to facilitate transactions when an Approved Person is unavailable or it is not feasible for the client to work with the Approved Person.
• Tier‑1 Trade Reviews – Post‑trade review of transactions.
• Provide support and act as an information resource for Approved Persons.
• Learn and understand WFGS policies and procedures and provide support to Approved Persons and direct other resources as appropriate.
• Review and report as required by any approved person who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, I...