Branch Manager/Investment Fund Specialist

1 week ago

Old Toronto, Canada Franklin Templeton Investments Full time
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Branch Manager/Investment Fund Specialist

Apply locations Toronto, Ontario, Canada time type Full time posted on Posted 3 Days Ago job requisition id 860642

Fiduciary Trust Company of Canada

Fiduciary Trust Company of Canada (“FTCC”), a nationally regulated Trust Company, and its predecessors have been successfully providing customized discretionary wealth management solutions to affluent Canadians for over 35 years. We are investment counselors and estate planning experts who help clients preserve, grow and transfer their wealth. A trusted and proven private wealth boutique, FTCC is backed by the strength and expertise of a global investment leader, Franklin Templeton, whose roots are well established in the Canadian market and date back to 1954. Since then, we have been committed to one goal: delivering exceptional asset management services to Canadian investors.

The unique combination of Investment Counseling, Investment Management and Personal Trust expertise offered by FTCC, combined with the global scale and expertise of the asset management firms that comprise Franklin Templeton Investments sets us apart from our competitors in our ability to deliver highly customized wealth management solutions to clients and their third-party advisors.

Our collective global investment teams bring specialized expertise across diverse asset classes and serve institutional, retail, and high-net-worth clients.

Job Description:

The IFS is responsible for managing and growing an existing client book of business through seeking referrals from existing clients via proactive sales and client servicing.

  • Investors whose needs are not met by other investment advisors;
  • Clients who are referred to FTC ISI from an external referring entity; li>
Job Duties:

Client Sales and Service

The successful incumbent is expected to:

  • Proactively contact existing clients regarding their portfolio asset mix and investment selection with the goal of deepening existing relationships and securing additional assets;
  • Ensure clients are provided with high level advice regarding investments and appropriate plan types;Regulatory Compliance & Risk Management

    The IFS must ensure that all transactions are executed in accordance with all regulatory, client and enterprise risk management expectations.

    The Branch Manager/IFS is specifically expected to:

    • Remain current on all regulatory matters and industry accepted standards;
    • Proactively/reactively help develop and implement policy and procedures necessary to monitor compliance with applicable securities regulations and industry best practices;
    • Help continually review and revise existing policies, as necessary, to ensure compliance with changing market/legal/ regulatory environments;
    • Assist in training and communicating such policies and procedures to all Investment Fund Specialists;
    • Assist FTC ISI’s Complaint Officer and Privacy Officer in the handling of client complaints and or privacy related issues;
    • Approve all new client accounts to ensure completeness and suitability to regulatory standards outlined in the policy and procedure manual;
    • Review and approve all Know Your Client updates to the standards outlined in the policy and procedure manual;
    • Report to FTC ISI Senior Management and the CCO any regulatory issues that may require reporting to FTC ISI’s Industry Regulator.

    Daily Trade review to the standards outlined in the FTC ISI policy and procedure manual

    Monthly reviews of the branch and sub-branch

    Quarterly reviews of the branch and sub-branch

    Assist in other ad hoc reviews or reporting related to regulatory compliance.

  • Completion of minimum educational and experience requirements to be registered as a dealing representative and Branch Manager under Canadian Investment Regulatory Organization (CIRO);
  • Completion of minimum experience requirement under CIRO of two years as a registered salesperson, trading partner, director, officer or compliance officer;
  • Bilingual in French would be an asset.

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