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Corporate Branch Director

1 month ago

Toronto, Ontario, Canada CI Financial Full time
Job Title: Corporate Branch Manager

We 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 supervisory and compliance policies and procedures.

Key Responsibilities:
  • Overall supervisory responsibility for an assigned group of registered individuals and branch/sub-branch office locations
  • Approval of all new accounts and related documentation to ensure completeness and follow-up on any deficiencies
  • Monitoring of registered individuals during the initial 90-Day Training Program and 6-month supervision period
  • Reporting of significant client service issues and allegations of wrongdoing to Head Office Compliance
  • Establishing an effective filing system to ensure client and branch files are current and up-to-date
  • Effective control of access to supervisory records and files to ensure client confidentiality
Requirements:
  • Minimum 5 years securities industry experience, with minimum 2 years' experience as a Branch Manager or Compliance Officer
  • MFDA or IIROC licensed or will be required upon hire (subject to regulatory approval)
  • Undergraduate degree and completion of applicable securities industry courses offered by the Canadian Securities Institute
  • Demonstrated knowledge and understanding of relevant securities legislation and SRO rules and regulations
What We Offer:

As a Corporate Branch Manager at CI Financial, you will have the opportunity to work in a dynamic and fast-paced environment, with a competitive salary and benefits package. If you are a motivated and experienced professional looking for a new challenge, we encourage you to apply.