Branch Manager/Compliance Officer (Regulatory Supervisor) | Aligned Capital Partners Inc. | LinkedIn

Branch Manager/Compliance Officer (Regulatory Supervisor)Aligned Capital Partners Inc. (ACPI) is a fast-growing investment Dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring a full-time Regulatory Supervisor to join our Client Experience Team in Calgary, Alberta as the firm makes inroads in the West. We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.Position OverviewIn this role, the successful candidate will provide Tier 1 supervision for an assigned region of Advisors to ensure that their business practices are in compliance with applicable securities regulatory requirements as well as ACPI supervisory and compliance policies/procedures. Our Business Integrity compliance team takes great pride in our in-depth understanding of the CIRO regulatory environment, taking a collaborative and coaching approach to provide this expertise to Advisors.What You Will DoOverall supervisory responsibility for 50-60 Investment Advisors and Portfolio Managers across Alberta and BCAssist in the review and approval of offering memorandum/alternative private product purchases in accordance with applicable accreditation and eligibility regulations and ACPI PoliciesWork collaboratively with ACPI’s Client Experience team to provide guidance on ACPI compliance policies to individual branches under supervisionProvide regular support to Advisors, respond to ad hoc Advisor requests with value-added information, ideas and solutionsComplete daily/monthly trade and account reviews while maintaining evidence of and following up on any deficiencies notedEscalate any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to ACPI LeadershipMonitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by ACPI Senior Management.You Will BringRelevant securities industry experience, with minimum 3 years’ experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm (Now CIRO) with at least 5 years of industry experienceExperience with a securities commission or self-regulatory organization is considered an assetCIRO licensed currently or ability to be licensed upon hire (subject to CIRO approval)Post-secondary degree/education preferably in Finance, Business or EconomicsCompletion of applicable securities industry courses offered by the Canadian Securities Institute including: Canadian Securities Course, Branch Managers Course or Investment Dealer Supervisors Course Completion/progress towards CFA or CIMCritical thinking and sound judgement Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.Ability to leverage technology to enhance analysis and execution including working knowledge of MS Office applications including as Word, Excel, Power Point and OutlookFamiliarity and experience working with equities, mutual funds and alternative investment productsAbility to work independently and manage time effectivelyDemonstrated leadership abilityStrong conflict resolution, organizational and communication skillsSeniority levelMid-Senior levelEmployment typeFull-timeJob functionAdministrative and Finance #J-18808-Ljbffr