Risk And Regulatory Requirements And Compliance
BranchOperationsManager
“Branch Operations Manager at Risk And Regulatory Requirements And Compliance. Skills: operational support, sales compliance, regulatory requirements. Provides effective operational support. Manages sales compliance”
Industry & Context.
Analytical and problem solving skills - In-depth; Exercises judgment to identify, diagnose, and solve problems within given rules; Breaks down strategic problems; Analyses data and information to provide insights and recommendations
What They're Looking For.
Must Have
5 - 7 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience, Must meet the licensing and certification requirements for the team / branch / jurisdiction where the mandate is being fulfilled, Deep knowledge and technical proficiency gained through extensive education and business experience
Nice to Have
Sales and service experience preferred, In-depth operational experience, Supervisory/leadership experience, In-depth experience with financial planning products and related technologies
What You'll Do.
Provides effective operational support
Manages sales compliance
Manages regulatory requirements
Performs risk assessments
Monitors for compliance breaches
Makes recommendations about risk
Recommends and implements solutions
Conducts independent analysis
Coordinates and executes specific activities
Monitors and tracks performance
Designs and produces reports
Ensures effective implementation of initiatives
Builds change management plans
Leads change management activities
Prepares documentation of compliance monitoring
Executes administrative reviews
Executes filings according to policies
Ensures Branch organization templates
Ensures delegation templates
Monitors daily transactions
Monitors monthly transactions
Supervises cash and securities responsibilities
Oversees maintenance of Policies and Procedures Manual
Leads execution of operational
Monitors operational controls
Initiates corrective actions
Identifies and analyzes risk factors
Monitors Branch adherence to regulations
Provides input into planning
Provides input into implementation
Executes work to deliver service
Sources new sales & service candidates
Supports Trainee mentorship
Supervises Trainee performance
Leads design of core processes
Participates in design of core processes
Manages core business programs
Reviews program for effectiveness
Recommends changes to programs
Identifies business needs
Performs operational activities
Provides administrative support
Provides operational support
Meets high quality service standards
Identifies and escalates irregularities
Identifies and escalates discrepancies
Follows through on risk processes
Follows through on compliance processes
Protects Bank's assets
Complies with regulatory requirements
Complies with legal requirements
Complies with ethical requirements
Provides specialized consulting
Provides analytical support
Provides technical support
Exercises judgment to solve problems
Handles non-routine situations
How You'll Work.
Team & Collaboration
Builds interdependent teams that collaborate across functional and operating groups; Ensures alignment between stakeholders; Works independently
Communication Scope
Verbal & written communication skills - In-depth
Process & Methodology
Coordinates and executes specific activities for the implementation of strategic, Helps determine business priorities, Helps determine best sequence for execution of business/group strategy, Builds change management plans of varying scope, Leads or participates in a variety of change management activities, Leads or participates in defining the communication plan, Leads/participates in the design, implementation and management of core business/group processes, Develops and manages a business/group program
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