Compliance

• Execute key branch manager oversight and supervision activities for FISI in a delegated capacity
• Support compliance training in the districts and ensure training completion by advisors
• Partner and collaborate with internal partners, including Business Governance & Controls (BG&C)
• Conduct regular business practice reviews with advisors in the districts
• Act as the primary point of contact for advisors’ compliance inquiries and issues
• Lead regular and proactive check-ins and reporting to DMs

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