Compliance/Tier1 Supervision-(Regional Branch Manager) Bilingual French

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 to other resources as appropriate.

Review and report as required 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 an MFDA registered dealer or related experience in the financial services industry

Bilingual; English / French (oral and written)

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 of Canada Course (IFIC) or the Canadian Securities Course (CSC)

Completion of the Branch Manager’s Examination Course (BM) or the Branch Manager’s Course (BMC)

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

Preferred Qualifications

College diploma and / or university degree

Working Conditions

Hybrid environment : 2 days a week Tuesday / Wednesday in North York

Occasional travel for branch visits within Ontario and out of province

Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws.

It is estimated based on what a successful candidate might be paid in certain Company locations.

The salary for this position generally ranges between $67,000 - $77,000 annually. This range is an estimate, based on potential qualifications and operational needs.

Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus of 7.5% based on the Company Bonus Plan / Individual Performance and is at the Company’s discretion.

This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed.

In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

Competitive Pay

Bonus for Eligible Employees

Benefits Package

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.

Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).

Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars

Parental Leave fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.

Adoption Assistance

Employee Assistance Program

College Coach Program

Back-Up Care Program

PTO for Volunteer Hours

Employee Matching Gifts Program

Employee Resource Groups

Inclusion and Diversity Programs

Employee Recognition Program

Referral Bonus Programs

Peer Recognition Program (BRAVO)

As of December 31, 2022

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts throughthe Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including theInclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs.

This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity.

ERGs are open to all employees.Theyprovide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

Webelieve our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994.

Through a mixof financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica’s Parent Company

Aegonacquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.

5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose : Helping people live their best lives.

As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.