Full time

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

Posted by Transamerica • June 03, 2026

📍 Toronto, Ontario, Canada
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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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