Manager, Branch Compliance

3 weeks ago

Cambridge, Canada Cowan Insurance Full time

You’re knowledgeable in Wealth Compliance with policies and regulation. 

You’re a communicator – strong communication skills both verbally and in writing.

You’re self-motivated - able to work independently and as a team.

You want to join a growing company

If you are nodding yes, this Branch Manager Compliance role in our Wealth Management department at Cowan Insurance Group may be perfect for you

What’s the ask?

Reporting to the Director of the Wealth Management department, the Branch Compliance Manager is responsible for providing supervisory functions to investment advisors and client service associates (licensed and non licensed). The successful candidate must be highly detailed, organized, and accurate and can work under pressure and meet deadlines. In addition, the candidate must work without supervision, exercise initiative, and use independent judgment in the performance of assigned tasks. 

Key Responsibilities:

  • Handling Know Your Client Update Reviews for suitability and sign off.
  • Managing Limited Authorization Forms and New Plan Application Approvals. 
  • Handling Trade Reviews for the investment advisors
  • Leading, training and coaching of various team members. 
  • Performing on-site reviews of all registered branches, quarterly.
  • Attending relevant compliance meetings, as required.
  • Various reporting and special projects, specific to our investment business
  • Uphold the standards outlined in Compliance policies and procedures manual and applicable industry regulations.
  • Conduct reviews of approved person activities and ensure the suitability of investments and other compliance practices. 
  • New account approvals and account updates.
  • Conducting close supervision of new registrants.
  • Supporting Advisors and client associates with compliance inquiries.
  • Providing ongoing compliance education and training for registered personnel.
  • Consistent communication with advisors and or regulatory bodies regarding the resolution of non-compliance practices. 
  • Work on special projects as assigned. 

What does it take?

  • Post-secondary education 
  • Successful completion of the Canadian Securities Course (CSC) or Investment Funds Course (CFIC) and Branch Manager’s Course (BMC) 
  • Completion or Willing to complete ETF Course and Liquid Alternative Course.
  • Ability to be immediately registered with the Regulators. 
  • Ability to multi-task in a fast-paced environment. 
  • Minimum 5 years related experience. 
  • Excellent working knowledge of Microsoft Word and Excel
  • Organized, accurate and detailed. 
  • Excellent oral and written communication skills. 
  • Ability to work independently and use independent judgment. 
  • This position is subject to appropriate background checks that may include credential, employment, credit, criminal and reference checks.

Who we are 
 Canadian-owned and operated, Cowan Insurance Group is a leading independent insurance brokerage and consulting operation, providing real value to our clients. With over 500 employees hired out of 6 locations across Canada, we’re proud to have been named one of Canada’s Best Managed Companies since 2012. 

We partner with leading national and international insurance companies to: 

  • deliver insurance and risk management solutions to businesses, organizations and individuals. 
  • advise on and create retirement, group benefits, disability management and international benefits programs for employee groups. 

We also offer wealth and asset management as well as financial and succession planning services to individuals, and specialize in property, casualty and credit insurance. 

What sets us apart? 

Be in good company 
 Integrity matters. It drives our award-winning workplace culture and fuels our collective desire to help our clients, employees, and communities thrive. 

Challenge your thinking 
 You're valued for your passion, drive and creativity. The pace is fast, but the work is meaningful, interesting, and complex, just the way you like it. 

Grow together 
 We believe in your potential. If you’re looking to develop your expertise with learning opportunities and mentoring, we’ll make that happen. 

Benefits and perks 

  • Participate in our comprehensive benefits plan on day one — no waiting period. 
  • Company-matched Retirement Savings Plan 
  • Company-paid training and development courses 
  • Community involvement 
  • Hybrid work environment

Are you interested? 

Please apply

While we appreciate the interest of all applicants, we will contact only those selected for interviews. If you are an applicant with disabilities and require accommodation, please let us know at the time of our contact so that we may arrange for their provision. 

We are an Equal Opportunity Employer. Employee candidates will be selected strictly on the basis of an individual's technical qualifications, knowledge and experience, as they relate to the requirements of a particular position. Selections will be made without regard to: race, ancestry, place of origin, colour, ethnic origin, citizenship, creed (religion), sex, sexual orientation, handicaps (physical or mental), age, marital status, family status, or the receipt of public assistance or record of offences. 

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