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Key Accountabilities
Daily mutual fund trade supervision
Close Supervision and Market Conduct Watch oversight for advisors
Client file reviews for both mutual fund and insurance, including periodic reviews of Financial Needs Analysis and Policy Replacement forms
Persistency report reviews and subsequent action items, as required
Oversight and training of holding out rules
Oversight and training on best practices for administrative routines for advisors
Oversight and follow up on warning letter action items
Office visits for all registered advisor business addresses
Follow up on outstanding market conduct audit findings
Responding to client complaints and concerns at the Financial Centre level
Engagement in the Market Conduct Audit process throughout the entire process including action plan execution
Must have Requirements
Meets MFDA Branch Manager status requirements, which includes successful completion of the Branch Managers course and minimum of two years relevant experience
Successful completion of IFIC or Canadian Securities Course
Insurance Knowledge and/or Insurance Sales knowledge plus LLQP or completion within 12 months
Competencies
Knowledge and experience of industry compliance standards and practices
Knowledge of insurance laws and regulations, and the ability to apply these in practical situations
Financial services sales or service experience
Good working knowledge of industry distribution systems
Knowledge of life insurance, health insurance and wealth product lines
Assets
Bilingualism English and French (written and spoken)
Knowledge of Salesforce.com platform
Excellent presentation skills
Proven training skills
Understanding of commission arrangements, advisor contracts, and the code of business practice for advisors
Awareness of other laws and regulations, such as the criminal code, and other aspects of civil and common law
Career Sales Force experience
Audit knowledge/experience
Essential Skills
- Reading text
- Document use
- Numeracy
- Writing
- Oral communication
- Working with others
- Problem solving
- Decision making
- Critical thinking
- Job task planning and organizing
- Finding information
- Computer use
- Continuous learning
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