Strategy Risk Manager

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 $1000 and monthly review of PRO accounts
• Review outgoing sales communications in conjunction with regional and 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 in the branch

Competencies

• Achievement Orientation – A concern for working well or for surpassing a standard of excellence
• Analytical Thinking - Understanding a situation, issue, problem, etc. by breaking it into smaller pieces
• Concern for Order - Reflects an underlying drive to reduce uncertainty in the surrounding environment
• Customer Service Orientation - Focusing one’s efforts on discovering and meeting the customer’s or client’s needs
• Flexibility - The ability to adapt to and work effectively within a variety of situations, and with various individuals or groups
• Initiative – The ability to identify a problem, obstacle, or opportunity and taking action in light of this identification to address current or future problems or opportunities
• Teamwork and Cooperation -Works cooperatively with others, to be part of a team, to work together, as opposed to working separately or competitively

Education:

• Bachelors Degree/College Diploma required
• Canadian Securities Course
  Conducts & Practices Handbook
  90 day program
• CSI Branch Manager’s Course
• CSI Partners, Directors and Officers Course
• CSI Professional Financial Planning Course (within 30 months of registration)
• Effective Management Seminar (within 18 months of registration)

Work Experience:

• 3-5 years industry experience, preferably as an IIROC Supervisor

Professional Designation:

• CFP, CIM or CFA desired

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