Title: Branch Supervision Administrator
Duration: 6 months
Location: Toronto, ON (2.5 days per week in office (Wed & Thurs), which actually means 2 days one week and three the next. With it being every other Friday in the office.)
Hours of Operation: 9 AM to 5 PM

Candidate Value Proposition: Possibility of FTE based on performance. Great way to come into investment management space.
 
How will performance be measured: Task driven, timely completion using professional judgement.

Job Description:

• Supports sales supervision activities and regulatory activities for designated client branches to meet all regulatory requirements.
• Acts as a designee on supervision objectives for the branch.
• Provides ongoing supervision education to assigned branch / portfolio.
• Provides support and guidance to branch employees on supervision issues.
• Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
• Identifies, reports and manages all supervision issues and irregularities according to guidelines.
• Supports applicable supervision responsibilities as per guidelines.
• Performs required daily/monthly supervision reviews, including reviewing branch reports.
• Performs required supervision reviews (delegated tasks) such as Global Relay Email Review, Gateway Message Review, Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review, Outstanding Documentation Review.
• Query and Request for Information (RFI) and follows up on outstanding issues.
• Executes work to deliver timely, accurate, and efficient service.
• Perform supervision activities to meet regulatory requirements and maintain service level standards.
• Builds effective relationships with internal/external stakeholders.
• Ensures alignment between stakeholders.
• Follows through risk and supervision processes and policies to ensure we safeguard our customers’ assets, maintain their privacy, act in their best interests, and ensure an effectively run function.
• Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.
• Focus may be on a business/group.
• Think creatively and proposes new solutions.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Works mostly independently.
• Broader work or accountabilities may be assigned as needed.

 
Qualifications:

• 1-3 years financial Service experience - ideally in investing / auditing.
• Verbal & written communication skills - In-depth.
• Collaboration & team skills - In-depth.
• Analytical and problem solving skills - In-depth.

Nice To Haves:

• Post-Secondary degree in related field of study or an equivalent combination of education and experience.
• Canadian Security Course.
• Supervisor License (Ciro).
• Audit experience.
• *Previous knowledge of all supervision and industry regulations – Good.

Education:

• Post secondary

 
 
At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position’s starting pay is: $ 34.47/hr.