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.
CBCO - Centralized Branch Compliance Officer - Bilingual (French / English)
Certification Branch Compliance Officer (BCO) - mandatory / passed prior to employment. AML, compliance, regulatory, etc. Contributes to a strong risk management culture through collaboration with other first line employees, and second & third line functions to ensure Compliance, AML or operational ...
Bilingual Manager, Insurance Supervision, Scotia Wealth Management - English/French
The Manager, Insurance Supervision’s primary focus is to manage the day‐to‐day sales practice supervision for the Insurance business within Scotia Wealth Management. Manager, Risk Management and the Director, Insurance Advisory to ensure compliance with policies and sales standards and then managing...
Sr. Project Manager, Gvmt. Software (Canada, Bilingual French)
Due to required interaction with the Canadian Federal government, candidates must be bilingual-French to be considered. English and Bilingual Canadian French is requiredDon’t have all the skills/experience mentioned above? At Granicus, we are trying to build diverse, inclusive teams. Have served as ...
Bilingual Associate RFP & Contracts Manager (French/English)
As the Associate RFP and Contracts Manager is responsible for regional contract and RFP management for all consumable, equipment and service contracts and RFPs. Directly accountable to ensure the integrity and compliance with Baxter policies and procedures, maintain internal control environment incl...
Senior Manager, Professional Services -Bilingual French-Documentum/ECM
Professional Services is searching for a dynamic and resourceful individual to join our Content Practice as a Senior Practice Manager. The Senior Practice Manager has three primary areas of responsibility: managing a team of direct reports; driving revenue through the delivery of customer engagement...
SLCSI Bilingual Account Opening Branch Manager
You will be bilingual in French and English with the ability to execute your role in both French and English. Function as a key point of contact and subject matter expert on Account Opening and Maintenance related inquiries and requests from employees and Branches (including advisors, Branch Manager...
Bilingual Audit & Compliance Manager , Transportation Risk & Compliance Operations, Transportation Risk & Compliance Operations
Transportation Risk and Compliance (TRC) is the voice of risk and compliance for Amazon’s transportation businesses across 16 regions. Bilingual in French and English. You will work collaboratively with business stakeholders, safety, legal, finance, tech, and human resource teams to implement world-...
Senior Compliance Analyst (Bilingual French)
La répartition des tâches et responsabilités liées à ce poste comprend, sans s'y limiter :.Soutenir les différentes unités commerciales et l'équipe de Conformité dans le maintien de la conformité à la législation, des obligations contractuelles et des politiques de TransUnion.Aider/consulter les uni...
Registration Manager – Bilingual French/English
Participates and consults during client discovery meetings and collaborates with Program Manager and Event Technology Project Manager to translate specific client needs into registration requirements. Bilingual in English and French is an asset. Registration Manager – Customer Experience & Design. T...
Bilingual Trade Supervision Manager
Conduct Tier 1 supervision activities, including daily/monthly trade reviews, close supervision, new registrant supervision as a back-up TSM. Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partne...