Corporate Branch Manager
2 weeks ago
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
What you will be doing?
- Ensuring compliance policies and procedures are maintained at each office;
- Reviewing and approving new account openings;
- Ensuring compliance with suitability requirements;
- Providing supervision of trades and advice given to clients;
- Supervising Branch Manager and/or Representative activities;
- Reviewing and following up on previous day’s trades;
- Following up on questionable trades and escalating as necessary;
- Completing KYC update review and approval;
- Providing training and education to the field;
- Providing coverage and support to other Corporate Branch Managers on the team;
- Providing support to our order affirmation team and other compliance teams as needed;
- Monitoring trends, communicating findings and implementing corrective actions;
- Acting as a resource for the field;
Qualifications:
- University degree or equivalent post-secondary education;
- Excellent knowledge of the mutual fund industry;
- Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
- Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;
- Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;
- Ability to understand, analyze and interpret Regulatory legislation;
- Advanced level of English and French language skills as the person will be required to communicate (also supervise and train) about 80% of the time with colleagues and advisors in both languages.
Only qualified candidates will be contacted. Thank you for your interest in iA Financial Group
Location(s): Toronto, Ontario Other Possible Location(s): Montreal, Quebec; Vancouver, British ColumbiaCompany: Investia Financial Services Inc. Posting End Date: 2024-09-27 Company Overview:
iA Financial Group is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management.
With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.
At iA, we’re invested in you.
Our Commitment to Diversity and Inclusion:At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.
Please note that if you need help or assistance to make the recruitment process more accessible for you, please Contact us here. Someone from our team will be happy to assist you with your needs.
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