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Corporate Branch Manager
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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
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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
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Toronto, Canada Resideo Full timeOversee the daily operations, sales quotas, financial responsibilities, and strategic priorities. You will hire, inspire, motivate, coach, and develop staff. You will monitor customer satisfaction, as well as other sales metrics, ensuring exceptional performance. You will serve as a role model for selling capability. You will understand and capitalize on...
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Branch Manager
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Toronto, Canada Brink's Canada Full timeAbout the job Position Overview Reporting to the Area Director the Branch Manager (BM) is responsible for the overall running of branch operations within company policy. They shall ensure proper operation procedures and safety and security regulations are adhered to, while maximizing profitability and maintaining customer service standards. This will be...
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Branch Manager
5 months ago
Toronto, Canada Brinks Full timeAbout the job Position Overview Reporting to the Area Director the Branch Manager (BM) is responsible for the overall running of branch operations within company policy. They shall ensure proper operation procedures and safety and security regulations are adhered to, while maximizing profitability and maintaining customer service standards. This will be...
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Branch Manager
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Toronto, Canada Brink's Incorporated Full time**Locations**: Toronto, ON - **Department**: Field Operations - **Req ID**: R48563 The Brink’s name is a promise to respect the trust we’ve earned in over 150 years in business. Every employee honors that promise by offering the highest levels of service and support to our customers. We take pride in our work, and we share a passion about our future....
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Branch Manager
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Toronto, Canada HSBC Full time-Job description Opening up a world of opportunity. We're a financial services organization serving more than 39 million customers across the globe through our Wealth & Personal Banking, Commercial Banking and Global Banking & Markets businesses. We’re here to use our unique expertise, capabilities, breadth and perspectives to open up a world of new...
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Corporate Travel Consultant
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Corporate Travel Consultant
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Toronto, Ontario, Canada Corporate Traveller Full timeAre you a travel enthusiast looking for a challenging role in the corporate travel industry? We are seeking a highly motivated and experienced Corporate Travel Consultant to join our team at Corporate Traveller.Key Responsibilities:Manage the day-to-day travel needs of corporate business accounts, including air, car, hotel, and ground transportation...
Corporate Branch Manager
3 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
