Current jobs related to Corporate Branch Manager - Toronto ON - CI Financial
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Corporate Branch Manager
1 month ago
Toronto, Ontario, Canada CI Financial Full time**Corporate Branch Manager** Seeking a seasoned professional to oversee branch operations, ensuring compliance with securities regulations and internal policies. We are currently seeking a Corporate Branch Manager to oversee the operations of our branch/sub-branch office locations. The successful candidate will be responsible for ensuring that all business...
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Corporate Branch Manager
4 weeks ago
Toronto, Ontario, Canada IA Financial Group Full timeJob Title: Corporate Branch ManagerJob Summary:We are seeking a highly skilled Corporate Branch Manager to join our team at iA Financial Group. As a key member of our compliance team, you will be responsible for ensuring compliance policies and procedures are maintained at each office.Key Responsibilities:Review and approve new account openingsEnsure...
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Corporate Branch Manager
4 weeks ago
Toronto, Ontario, Canada IA Financial Group Full timeJob Title: Corporate Branch ManagerJob Summary:We are seeking a highly skilled Corporate Branch Manager to join our team at iA Financial Group. As a key member of our compliance team, you will be responsible for ensuring compliance policies and procedures are maintained at each office.Key Responsibilities:Review and approve new account openingsEnsure...
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Corporate Branch Manager
3 weeks ago
Toronto, Ontario, Canada IA Financial Group Full timeJob Title: Corporate Branch ManagerAbout the Role:We are seeking a highly skilled Corporate Branch Manager to join our team at iA Financial Group. As a key member of our compliance team, you will be responsible for ensuring compliance policies and procedures are maintained at each office.Key Responsibilities:Review and approve new account openings;Ensure...
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Corporate Branch Manager
3 weeks ago
Toronto, Ontario, Canada IA Financial Group Full timeJob Title: Corporate Branch ManagerAbout the Role:We are seeking a highly skilled Corporate Branch Manager to join our team at iA Financial Group. As a key member of our compliance team, you will be responsible for ensuring compliance policies and procedures are maintained at each office.Key Responsibilities:Review and approve new account openings;Ensure...
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Corporate Branch Director
1 month ago
Toronto, Ontario, Canada CI Financial Full timeJob Title: Corporate Branch ManagerWe are seeking a highly experienced Corporate Branch Manager to join our team at CI Financial. As a key member of our organization, you will be responsible for ensuring the business conducted in our branch/sub-branch office locations is in compliance with applicable securities regulatory requirements and internal...
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Corporate Branch Director
4 weeks ago
Toronto, Ontario, Canada CI Financial Full timeJob Title: Corporate Branch ManagerWe are seeking a highly experienced Corporate Branch Manager to join our team at CI Financial. As a key member of our organization, you will be responsible for ensuring the business conducted in our branch/sub-branch office locations is in compliance with applicable securities regulatory requirements and internal...
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Corporate Branch Director
1 month ago
Toronto, Ontario, Canada CI Financial Full timeJob Title: Corporate Branch ManagerWe are seeking a highly experienced Corporate Branch Manager to join our team at CI Financial. As a key member of our organization, you will be responsible for ensuring the business conducted in our branch/sub-branch office locations is in compliance with applicable securities regulatory requirements and internal...
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Corporate Branch Director
4 weeks ago
Toronto, Canada CI Financial Full timeJob Title: Corporate Branch ManagerWe are seeking a highly experienced and skilled Corporate Branch Manager to join our team at CI Financial. As a key member of our organization, you will be responsible for ensuring the business conducted in our branch/sub-branch office locations is in compliance with applicable securities regulatory requirements and...
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Corporate Branch Director
4 weeks ago
Toronto, Canada CI Financial Full timeJob Title: Corporate Branch ManagerWe are seeking a highly experienced and skilled Corporate Branch Manager to join our team at CI Financial. As a key member of our organization, you will be responsible for ensuring the business conducted in our branch/sub-branch office locations is in compliance with applicable securities regulatory requirements and...
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Corporate Branch Manager
2 weeks ago
Old Toronto, Canada iA Financial Group Full timeOffice: 26 Wellington Street EastJob category: Compliance Generalist/MultidisciplineDo you have experience working in the mutual fund industry? Do you enjoy Compliance and working with advisors? This could be the perfect opportunity for you!What you will be doing:Ensuring compliance policies and procedures are maintained at each office;Reviewing and...
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Corporate Branch Manager
1 month ago
Toronto, Canada IA Financial Group Full timeDescription Domain : Compliance Mode : Remote Language : French and English Start : As soon as possible Do you have experience working in the mutual fund industry? Do you enjoy Compliance and working with advisors? This could be the perfect opportunity for you! Ensuring compliance policies and procedures are maintained at each office; ...
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Corporate Branch Manager
2 months ago
Toronto, Ontario, Ontario, Canada CI Financial Full timeJOB OVERVIEWWe are currently seeking a Corporate Branch Manager. In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of Assante’s two dealerships, Assante Financial...
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Branch Manager
4 months ago
Toronto, Canada iA Groupe financier iA Financial Group Full timeDo you like juggling multiple priorities, being in contact with multiple stakeholders, all while using your problem-solving skills? The retail banking & branch management team at iA Private Wealth needs you to support their mission. Reporting to the Senior Manager, the Branch Manager oversees all aspects of branch compliance supervision and its continuous...
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Restoration Branch Manager
3 weeks ago
Toronto, Ontario, Canada TalentSphere Staffing Solutions Full timeJob Title: Restoration Branch ManagerWe are seeking an experienced Restoration Branch Manager to lead our team in Toronto, ON. As a key member of our organization, you will be responsible for overseeing all aspects of the branch's operations, including claim intake, emergency services, project management, staff scheduling, and customer satisfaction.About the...
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Restoration Branch Manager
3 weeks ago
Toronto, Ontario, Canada TalentSphere Staffing Solutions Full timeJob Title: Restoration Branch ManagerWe are seeking an experienced Restoration Branch Manager to lead our team in Toronto, ON. As a key member of our organization, you will be responsible for overseeing all aspects of the branch's operations, including claim intake, emergency services, project management, staff scheduling, and customer satisfaction.About the...
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Restoration Branch Manager
3 weeks ago
Toronto, Ontario, Canada TalentSphere Staffing Solutions Full timeJob Title: Restoration Branch ManagerWe are seeking an experienced Restoration Branch Manager to lead our team in Toronto, ON. As a key member of our organization, you will be responsible for overseeing all aspects of the branch's operations, including claim intake, emergency services, project management, staff scheduling, and customer satisfaction.About the...
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Restoration Branch Manager
4 weeks ago
Toronto, Ontario, Canada TalentSphere Staffing Solutions Full timeJob Title: Restoration Branch ManagerWe are seeking an experienced Restoration Branch Manager to lead our team in Toronto, ON. As a key member of our organization, you will be responsible for overseeing all aspects of branch operations, including claim intake, emergency services, project management, staff scheduling, and customer satisfaction.About the...
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Restoration Branch Manager
4 weeks ago
Toronto, Ontario, Canada TalentSphere Staffing Solutions Full timeJob Title: Restoration Branch ManagerWe are seeking an experienced Restoration Branch Manager to lead our team in Toronto, ON. As a key member of our organization, you will be responsible for overseeing all aspects of branch operations, including claim intake, emergency services, project management, staff scheduling, and customer satisfaction.About the...
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Restoration Branch Manager
3 weeks ago
Toronto, Ontario, Canada TalentSphere Staffing Solutions Full timeJob Title: Restoration Branch ManagerWe are seeking an experienced Restoration Branch Manager to lead our team in Toronto, ON. As a key member of our organization, you will be responsible for overseeing all aspects of the branch's operations, including claim intake, emergency services, project management, staff scheduling, and customer satisfaction.About the...
Corporate Branch Manager
2 months ago
JOB OVERVIEWWe are currently seeking a Corporate Branch Manager. In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of Assante’s two dealerships, Assante Financial Management (AFM), a member of the Mutual Fund Dealers’ Association (MFDA) and Assante Capital Management (ACM), a member of the Investment Industry Regulatory Organization of Canada (IIROC), is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and procedures.WHAT YOU WILL DOOverall supervisory responsibility for an assigned group of AFM and ACM registered individuals and branch/sub-branch office locations under their supervisionApproval of all new accounts, New Account Application Forms (NAAF) and related required documentation to ensure completeness and follow-up on any deficiencies noted within a reasonable time frameEnsure registered individuals are properly registered, do not exceed requirements of their registration, provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products, disclose all outside business activities to Head Office Compliance, and only conduct activities for which they are registered for or have otherwise obtained approval from Head Office ComplianceMonitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by Head Office ComplianceComplete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirementsReport any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to Head Office Compliance immediatelyBe responsible for ongoing education and training of both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and proceduresEstablish an effective filing system to ensure all client and branch files are current and up-to-date and contain all required documentsEffectively control access to supervisory records and files to ensure client confidentialityMinimum of annual visits with sub branch locations as part of ensuring overall compliance and effective supervision of registered individualsReport regularly to CCO & VP, Compliance (Head Office) in relation to:Overall level and effectiveness of branch and supervision of registered individuals and compliance with securities regulatory requirements and internal supervisory and compliance policies and proceduresSpecific supervisory challenges relating to registered individuals Performance and results of any internal or external branch examinations performed across any branch/sub-branch office locations under their supervisionInquiries, requests for information from the Securities Commissions or local offices of IIROC or the MFDAClient complaints, lawsuits or allegations of misconduct levied against any registered individuals or branchesMaintain open and effective relations with staff from Commissions, IIROC and MFDAWHAT YOU WILL BRING Minimum 5 years securities industry experience, with minimum 2 years’ experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firmExperience with a securities commission or self-regulatory organization would be an assetMFDA or IIROC licensed or will be required upon hire (subject to regulatory approval)An undergraduate degreeCompletion of applicable securities industry courses offered by the Canadian Securities Institute including: Canadian Securities Course, Branch Managers Course, and Partners, Directors and Senior Officers Qualifying ExamDemonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.Extensive knowledge of MS Office applications including as Word, Excel, Power Point and OutlookFamiliarity and experience working with common securities transaction processing systems, including RPMAbility to work independently and under pressureStrong conflict resolution, organizational, and communication skills
