Regional Compliance Supervisor

CGC Canaccord Genuity Corp.; Toronto; On-site; CAD 95,000 - 120,000; Full time

Job summary

Canaccord Genuity Corp. in Toronto is seeking a Regional Supervisor to oversee compliance reviews and branch support across the region. The role reports to the Managing Director, Wealth Management & Branch Manager and involves ensuring documentation accuracy and regulatory adherence.

You'll lead a team of supervisors, perform spot checks, review client files and KYC, and partner with Compliance VPs to implement policies across branches. Strong licensing and supervisory experience are required.

Qualifications

• Must have completed CIRE, RSE (CSC) and CPH examinations.
• Supervisor License required; experience as supervisor an asset.
• Strong knowledge of the full-service advisory industry and compliance.

Responsibilities

• Oversee Tier 1 daily and monthly compliance reviews and documentation.
• Perform periodic spot checks of client files and registrations.
• Lead and train branch staff on compliance policies and procedures.
• Collaborate with branch managers and compliance VPs to improve results.
• Ensure accurate KYC reviews and suitability assessments.

Skills

CIRE

RSE (CSC)

CPH Examinations

Supervisor License

Team Leadership

MS Office

Compliance Knowledge

Tools

Dataphile

Execlear

Job description

Canaccord Genuity Corp. in Toronto is seeking a Regional Supervisor to oversee compliance reviews and branch support across the region. The role reports to the Managing Director, Wealth Management & Branch Manager and involves ensuring documentation accuracy and regulatory adherence.

You'll lead a team of supervisors, perform spot checks, review client files and KYC, and partner with Compliance VPs to implement policies across branches. Strong licensing and supervisory experience are required.