Branch Supervision Administrator - 81772

S.i. Systems; Toronto; Hybrid; CAD 60,000 - 75,000; Full time

Job summary

A financial services firm in downtown Toronto is seeking a candidate for a 6-month contract role focusing on supervision activities in Private Wealth. This position requires 1-3 years of financial service experience, particularly in auditing or investing. Ideal candidates will have strong communication, collaboration, and problem-solving skills. The role supports regulatory compliance while offering a hybrid work model with office commitments during the week.

Qualifications

• 1-3 years Financial Service experience, ideally in investing/auditing.
• In-depth verbal and written communication skills.
• Strong collaboration and analytical skills.

Responsibilities

• Support sales supervision activities and regulatory requirements.
• Provide ongoing supervision education to branch employees.
• Perform daily/monthly supervision reviews to ensure compliance.

Skills

Financial Service experience

Verbal communication skills

Written communication skills

Collaboration skills

Analytical skills

Problem-solving skills

Education

Post-secondary degree in related field

Job description

Line of Business : Private Wealth

Duration : 6 months (Possibility of Extension or Conversion)

Location : Hybrid - Downtown Toronto - 2.5 days per week in office (Wed & Thurs), which actually means 2 days one week and three the next. With it being ever other Friday in the office.

Job Description

Supports sales supervision activities and regulatory activities for designated Nesbitt Burns branches to meet all regulatory requirements.

• Acts as a designee on supervision objectives for the branch.
• Provides ongoing supervision education to assigned branch / portfolio.
• Provides support and guidance to branch employees on supervision issues.
• Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
• Identifies, reports and manages all supervision issues and irregularities according to guidelines.
• Supports applicable supervision responsibilities as per guidelines.
• Performs required daily / monthly supervision reviews, including reviewing branch reports.
• Performs required supervision reviews (delegated tasks) such as Global Relay Email Review, Gateway Message Review, Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review, Outstanding Documentation Review. Query and Request for Information (RFI) and follows up on outstanding issues.
• Executes work to deliver timely, accurate, and efficient service.
• Performs supervision activities to meet regulatory requirements and maintain service level standards.
• Builds effective relationships with internal / external stakeholders.
• Ensures alignment between stakeholders.
• Follows through on risk and supervision processes and policies to ensure we safeguard our customers’ assets, maintain their privacy, act in their best interests, and ensure an effectively run function.
• Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.
• Focus may be on a business / group
• Thinks creatively and proposes new solutions.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Works mostly independently.
• Broader work or accountabilities may be assigned as needed.

Qualifications

• 1-3 years Financial Service experience - ideally in investing / auditing
• Verbal & written communication skills - In-depth.
• Collaboration & team skills - In-depth.
• Analytical and problem solving skills - In-depth.

Nice To Haves

• post-secondary degree in related field of study or an equivalent combination of education and experience.
• Canadian Security Course
• Supervisor License (Ciro)
• Audit experience
• Previous knowledge of all supervision and industry regulations – Good.

Education

Post secondary

Interviews

• 1 round virtual via MS Teams HM / 1st Regional officer
• 2nd round potentially in person FCP / HM & 2nd Regional officer