Salary Range: $85,000 - $95,000Canaccord Genuity (CG) is a leading independent full‑service financial services firm with operations in two principal segments: wealth management and capital markets. CG is committed to building lasting client relationships by delivering comprehensive wealth‑management solutions and investment banking services.ResponsibilitiesAct as first point of escalation for compliance issues and report to Branch Manager when applicable.Handle client calls (corporate and wealth‑management) and perform required administrative duties.Conduct daily and monthly compliance reviews: trade reports, Protegent alerts, PRO accounts, fee‑based accounts, restricted accounts, high‑risk accounts, concentration reviews and pending documentation reviews.Review and approve new accounts and KYC updates to ensure documentation accuracy and suitability.Approve all option accounts, marketing materials submitted by IA teams, trade corrections/errors, cheque/wire requests (including third‑party payments), third‑party deposits, outside‑activity requests, share‑certificate deposits, non‑brokered private placements, address change requests, new referral arrangements, and current joint IA code requests.Perform spot checks to identify trading authority or power of attorney over non‑related client accounts; review registration andvalidation for Canada and USA; and check titles and designations on email signatures, business cards, social‑media accounts and websites.Review insider and significant shareholder status, financial plan reviews, mail reviews,



leverage reviews, annual outside‑activity reviews, and preliminary prospectus log maintenance.Conduct supervisory reviews including credit‑report margin calls and debit‑balance checks, incoming/outgoing mail review, flagged email correspondence, and trading conduct of supervised staff.Ensure proper cheque handling (deposits and pickups) at the branch and maintain compliance with CG requirements.Spot‑check weekly CRM reports to confirm suitability assessments for trigger events.Work with Branch Management, Compliance, and Legal to resolve service and regulatory complaints and conduct sub‑branch supervision and visits as needed.Provide guidance and support to advisors and their teams on compliance policies and procedures, ensuring IA teams follow company and regulatory requirements.Liaise with Operations, Compliance, and Credit on compliance‑related issues.Maintain deep understanding of compliance requirements and contribute to regular discussions with Branch Managers, National Sales, Compliance VPs, and the CCO to share information and address common concerns.Train, develop, and enforce compliance policies and procedures across the region,



ensuring alignment across the firm.Communicate effectively within the region and with other RCMs to strengthen compliance adoption and implement action plans for improvement.Maintain confidential records for Branch Managers, including handling incoming mail and correspondence and drafting email responses when necessary.QualificationsCompleted Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) examinations, with ongoing continuing education.CIRO Supervisor license (mandatory); willingness to obtain Options Supervisor license.Well‑rounded experience and knowledge of the brokerage industry.Detail‑oriented with strong organizational skills.Demonstrated ability to meet deadlines and work effectively under pressure.Capability to work with employees and clients at all levels.Intermediate to advanced Microsoft Office skills.Experience in a supervisory role in the brokerage industry is an asset.Experience with Dataphile and Execlear systems is an asset.All applications will be held in strict confidence. Candidates selected for interviews must provide proof of citizenship, permanent residence, or eligibility to work in Canada without restrictions.We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. We provide an accessible candidate experience and accommodate various needs throughout the interview process.#J-18808-Ljbffr

📌 Regional Supervisor - $85,000 - $95,000 A Year (Winnipeg)
🏢 Canaccord Genuity
📍 Winnipeg