Nour Private Wealth Inc. is seeking an experienced Managed Accounts Supervisor to support the oversight and administration of the firm’s managed account activities and related regulatory requirements.
This role requires an individual who is detail-oriented, knowledgeable in regulatory requirements, and comfortable working closely with Advisors, Portfolio Managers, Compliance, Operations, and senior management.
Key Responsibilities
- Provide day-to-day supervision and oversight of the firm’s managed account activities, ensuring adherence to internal policies and applicable CIRO and securities regulatory requirements.
- Review managed account documentation, account approvals, investment mandates, restrictions, and related supervisory requirements.
- Support the supervision and oversight of options trading and options-enabled accounts, including ensuring appropriate approvals, documentation, and regulatory requirements are satisfied.
- Review and approve sales communications and marketing materials, including Advisor communications, presentations, advertisements, digital content, and other client-facing materials, in accordance with applicable regulatory requirements and firm policies.
- Manage and maintain registrations through the National Registration Database (NRD), including new registrations, amendments, transfers, terminations, outside activities, and other required filings.
- Monitor registration requirements and ensure individuals maintain the appropriate registrations, proficiency requirements, and approvals for their roles.
- Work closely with Compliance to identify and address deficiencies, exceptions, and supervisory concerns.
- Maintain accurate supervisory records and documentation to support internal reviews, regulatory examinations, and audits.
- Assist with the development, implementation, and maintenance of policies and procedures relating to managed accounts, options, registrations, and sales communications.
- Provide guidance to Advisors and employees regarding regulatory requirements, internal policies, and documentation standards.
- Assist with regulatory inquiries, examinations, audits, and other compliance initiatives as required.
- Escalate material compliance or supervisory concerns to senior management and/or Compliance as appropriate.
- Stay current with changes to CIRO rules, securities legislation, regulatory guidance, and industry best practices.
Qualifications & Experience
- Minimum 5 years of relevant experience within a CIRO-regulated investment dealer, wealth management firm, or similar financial services environment.
- Strong working knowledge of managed accounts and managed account supervision.
- Demonstrated knowledge and experience with options and options-related regulatory requirements.
- Hands-on experience with the National Registration Database (NRD) and Canadian securities registration requirements.
- Experience reviewing and approving sales communications, advertising, and other client-facing materials.
- Strong understanding of CIRO rules and the Canadian securities regulatory framework.
- Relevant CIRO registration, proficiency courses and/or supervisory qualifications required for the responsibilities of the position.
- Experience working with Portfolio Managers, Investment Advisors, Compliance, and Operations teams is strongly preferred.
- Excellent attention to detail and ability to maintain comprehensive regulatory and supervisory records.
- Strong written and verbal communication skills.
- Ability to exercise sound judgment and appropriately escalate regulatory or supervisory concerns.
- Strong organizational skills with the ability to manage multiple priorities and deadlines.
INCLUSIVENESS
At Nour Private Wealth, we are committed to fostering an inclusive, accessible environment where all employees and clients feel valued, respected, and supported. We are dedicated to building a workforce that reflects our clients' diversity and the communities we live and serve. If you require any accommodation for the recruitment/interview process (including alternate formats of materials, accessible meeting rooms, or other accommodations), please let us know, and we will work with you to meet your needs.
Primary Location: Oakville, Ontario
Schedule: Full-time/Regular
Hours: Monday to Friday
Job Type: Full-time, Permanent
Salary: will be commensurate with experience and marketplace. TBD
We thank all applicants; however, only those selected for an interview will be contacted.
Inclusion and Equal Opportunity Employment
Nour Private Wealth is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans' status, Aboriginal/Native American status, or any other legally protected factors. Disability-related accommodations during the application process are available upon request.
We thank all applicants; however, only those selected for an interview will be contacted.
Joining us if you qualify will be the best career decision ever.
Note: Please note that we do not offer sponsorship. This job is for Canadian citizens, work permit holders, and PR only.
