Regional Supervisor

Salary Range: $85,000 - $95,000

Canaccord Genuity (CG) is a leading independent full‑service financial services firm with operations in two principal segments: wealth management and capital markets. CG is committed to building lasting client relationships by delivering comprehensive wealth‑management solutions and investment banking services.

Responsibilities

• Act as first point of escalation for compliance issues and report to Branch Manager when applicable.
• Handle client calls (corporate and wealth‑management) and perform required administrative duties.
• Conduct daily and monthly compliance reviews: trade reports, Protegent alerts, PRO accounts, fee‑based accounts, restricted accounts, high‑risk accounts, concentration reviews and pending documentation reviews.
• Review and approve new accounts and KYC updates to ensure documentation accuracy and suitability.
• Approve all option accounts, marketing materials submitted b...