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City Toronto
State/Province Ontario [ON]
Job Title Manager, Compliance & Operations
Employment Status Full Time
Branch/Department Wealth Management Department
Reports to [Title] VP, Wealth Management
Position Overview
Looking to grow your Career at Alterna? 
 
Scope of Position
 
Under the direction of the Vice President Wealth Management, the Manager, Compliance & Operations will be responsible for providing support to the Vice President, Wealth Management, and for providing overall leadership to the Compliance and Operations staff to achieve a high standard of operational effectiveness, superior member/client (both internal and external) experience and achieving a high level of compliance and risk management.
 
Through ongoing coaching and development, the Manager, Compliance & Operations develops and implements strategies to maximize employee capability and engagement. This role also fosters a high performance culture, implementing strategies and change initiatives that contribute to the achievement of established Wealth Management targets and ultimately the organization’s strategic goals. 
 
Key Responsibilities
 
  • Manages the ongoing activities of the Mutual Funds Compliance Officers and Operations staff under direct supervision
    • Analyzes current state, identifies business requirements, and recommends enhancements to processes to improve quality, increase efficiencies, and achieve a high performance team.
    • In collaboration with the team and business stakeholders, reallocates resources as needed to provide a consistently high level of service.
    • Through workforce alignment strategies, recruits, assesses and selects employees that meet the highest standards of competency.
    • Coaches, mentors and develops staff through clearly defined and measurable goals, establishing expectations to ensure performance targets are met.
    • Interviews and selects candidates for available positions within the team.
    • Establishes performance standards and evaluates employee performance to identify gaps in development or capability and implements strategies to address the gaps.
  • Is accountable for the collaborative development, standardization and simplification of departmental processes.
  • Supports, build awareness of, and advocates Qtrade Compliance and Operations systems and process to ensure self sufficiency.
  • Works collaboratively with Qtrade Learning & Training Department to help promote and schedule all forms of training for Advisors, Investment Specialists, Bankers, Branch Managers and other staff.
  • Be the point of contact for on-boarding of all new registrants and employees between Qtrade and Alterna
    • Works to gather essential information for the new hire process including: registration related documentation; due diligence information; and employment agreement information
  • Manages and conducts face to face coaching and mentoring sessions with Branch management staff and branch licensed representatives.
    • To meet or exceed sales targets and build advisory and investment sales capability within Alterna branches
    • Be responsible for building the understanding, awareness and capability of the branch bankers and their managers with respect to investment solutions and advisory skills in order to identify the appropriate means to meet the wealth management needs of members.
    • Working with the Mutual Funds Compliance Officers and Operations staff, review issues and common questions for tracking, and use during face to face coaching sessions
  • Manages and ensures processes and procedures established between QAM/QA and Alterna are consistently adhered to by Mutual Funds Compliance Officers, Operations staff and licensed branch staff.
  • Manages and ensures that required regulatory information is delivered consistently to all licensed staff and existing reference channels, processes or procedures, modified are as required.
  • Escalates client complaints as appropriate
  • Participates in monthly QAM/QA Strategic Partner Branch Manager calls
  • Manages wealth management inbox and respond to queries from licensed representatives and Mutual Funds Compliance Officers.
  • Assists Vice President Wealth Management with all wealth management initiatives and projects
  • Other duties as required
 
Qualifications
 
  • Registration with either IIROC or the MFDA
  • Able to be licensed as a Branch Compliance Officer
  • Proven track record of demonstrated leadership within the Securities industry preferred (or wealth management environments of the banking industry)
  • Strong communication (both written and verbal), and interpersonal skills for dealing with executives, staff and clients
  • Financial literacy and knowledge of industry software strongly preferred
  • Strong knowledge of Microsoft Office suite and various computer applications
 
Compensation
 
At Alterna, we offer a competitive total rewards program, the ability to achieve real work-life balance, and an opportunity to truly make a difference. If you put people first and value excellence and integrity, we hope you'll apply!
 
* Although we appreciate all applicants, preference will be given to candidates who most closely meet the qualifications, key skills and competencies outlined below. 
 
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