Compliance Branch- Manager

For Mandeville Operations Management Inc.

Essential Functions:

  • Review trades and supervise accounts
  • Review and approve new accounts and account updates
  • Perform random in-depth file reviews of all advisors under supervision
  • Communicate, document and follow-up trade reviews
  • Conduct monthly reviews of statements which produce commission in excess of $1500 and monthly review of PRO accounts
  • Review outgoing sales communications in conjunction with head offices
  • Assist Head Office Compliance in the investigation/resolution of client complaints
  • Provide assistance and act as a resource in matters of compliance for all advisors and assistants


  • Analytical Thinking - Understanding a situation, issue, problem, etc. by breaking it into smaller pieces
  • Conceptual Thinking - The ability to identify patterns or connections between situations that are not obviously related
  • Concern for Order - Reflects an underlying drive to reduce uncertainty in the surrounding environment
  • Developing Others - Involves a genuine intent to foster the long-term learning or development of others
  • Expertise - The ability and motivation to expand and use technical knowledge or to distribute work-related knowledge to others
  • Information Seeking - Driven by an underlying curiosity and desire to know more about things, people, or issues
  • Relationship Building - The ability to build, maintain and manage ethical relationships, networks or contacts with people who are helpful in achieving work-related goals
  • Team Leadership - The intention to take a role as leader of a team or other group


  • Bachelors Degree/College Diploma required
  • Canadian Securities Course
    - Conducts & Practices Handbook
    - 90 day program
  • CSI Investment Dealer Supervisors Course
  • CSI Partners, Directors and Senior Officers Course
  • CSI Wealth Management Essentials (within 30 months of registration)

Professional Designation

  • CFP, CIM or CFA desired

Work Experience:

  • CFP, CIM or CFA desired
  • 3-5 years industry experience, preferably as an IIROC Supervisor

We thank all applicants in advance, however, only those individuals selected for an interview will be contacted.

At Mandeville Operations Management Inc., we support diversity and equity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family status, physical or mental disability.

We respect the dignity and independence of persons with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.

Reasonable accommodations will be made to enable individuals with disabilities to perform the essential functions.

If contacted for an interview, please inform us should any accommodation be required.

Qualified applicants should email resumes along with a cover letter to We thank all applicants in advance, however, only those individuals selected for an interview will be contacted.

Interested in Joining Us as an Advisor?

Please contact Frank Laferriere, Director, Senior Vice President and Chief Operating Officer, Mandeville Private Client Inc.: