Branch Manager/Investment Fund Specialist
3 days ago
Branch Manager/Investment Fund Specialist
Apply locations Toronto, Ontario, Canada time type Full time posted on Posted 3 Days Ago job requisition id 860641
Fiduciary Trust International is a premier investment and wealth management firm with a commitment to growing and protecting wealth across generations. We offer a dynamic and collaborative approach to managing wealth for high-net-worth and ultra high-net-worth individuals and families, family offices, endowments, foundations, and institutions. Unlike other firms, our investment managers, tax and estate planning professionals work together to develop holistic strategies to optimize clients’ portfolios while mitigating the impact of taxes on their wealth.
Fiduciary Trust International is owned by Franklin Templeton, a diversified firm that spans asset management, wealth management, and fintech, giving us many ways to help investors make progress toward their goals. With clients in over 150 countries and offices on six continents, you’ll get exposed to different cultures, people, and business development happening around the world.
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;
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;
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