The Associate Supervisory Manager (ASM) reports directly to the Director, Regional Supervisory Management (RSM) with added oversight by the AVP, Dealer Regulatory& Product ****f Management.* The ASM is responsible for completing daily Tier-1 compliance reviews and general market conduct of all advisors and Financial Centres assigned to them.Key Accountabilities•*Daily Mutual Fund & Seg Fund trade supervision, including:•*Review of all new account openings•*Review of all KYC update...
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