IG Wealth ManagementAssociate Manager, Corporate tier 1 supervision .
Jan. 2019 - Jan. 2020Région de Montréal, Canada•Conduct tier 1 supervision review activities including: daily trading, leverage investments, client file reviews, account approvals and service-related complaint resolution.
•Support Consultants and Securities Specialists in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
•Manage regulatory obligations and commitments, such as the 90-day training program, 6-month supervision, periodic on-site branch visits, continuing education, as well as close supervision.
•Identify training requirements, implement and coordinate the delivery of training programs.
•Participate in internal compliance reviews or external regulator audits conducted in Head Office or Branch/Sub-Branch office locations.