Wealth Management Regulatory Branch Manager
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Strengthen regulatory oversight for Canada Life’s wealth platform in Montreal through advisor supervision, compliance education, and trade review.
As Corporate Branch Manager for Quadrus investment services Ltd, you will help Investment Planning Counsel maintain compliant branch operations. The role covers investment representatives, administrative staff, and others connected with mutual fund trading activity. It combines regulatory interpretation with problem solving, prioritization, and advisor support in a hybrid office model.
Key Responsibilities:
- Assess branch activity against CIRO supervision requirements
- Address suitability concerns and undesirable activity
- Assist compliance education for representatives and administrative staff
- Maintain evidence of completed compliance training
- Pre-approve trades for new and supervised advisors
Requirements:
- Fluent French and English required for regular client service
- Deep expertise in compliance and regulatory matters
- Problem-solving skills focused on building solutions
- ETF, Bitcoin, and alternative funds course knowledge
- Branch Manager qualification and mutual fund registration experience
Support Quadrus and Canada Life wealth operations with regulatory expertise, advisor guidance, and disciplined branch supervision.
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