Compliance/Tier1 Supervision-(Regional Branch Manager)- WFG Canada

Transamerica · Toronto, Ontario, Canada

Location

Toronto

Job Type

Full time

Posted

June 13, 2026

Job Description

Job Description
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.

Qualifications
Two years of compliance experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experienc...
        

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