Corporate Branch Manager
2 weeks ago
The Opportunity:
ML6 has partnered with a leading Canadian investment management firm that is looking for a Corporate Branch Manager to join their growing team. This person will ideally be located in BC, AB, SK, or in the GTA.
What You'll Be Doing:
- Oversee an assigned group of AFM and ACM registered individuals and branch/sub-branch office locations.
- Approve all new accounts, New Account Application Forms (NAAF), and related documentation to ensure completeness and follow up on any deficiencies within a reasonable timeframe.
- Ensure registered individuals are properly registered, do not exceed their registration requirements, provide all necessary disclosure forms to clients, disclose all outside business activities to Head Office Compliance, and only conduct approved activities.
- Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period, and any periods of ‘close supervision’ as determined by Head Office Compliance.
- Complete daily and monthly trade and account reviews in accordance with securities regulatory requirements, and follow up on any deficiencies noted.
- Provide ongoing education and training to both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures.
- Conduct annual visits to sub-branch locations to ensure overall compliance and effective
- Maintain open and effective relations with staff from Commissions, IIROC, and MFDA.
What You'll Need to Be Successful:
- Minimum 5 years of securities industry experience, with at least 2 years as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm.
- Experience with a securities commission or self-regulatory organization is an asset.
- MFDA or IIROC licensed (or will be required upon hire, subject to regulatory approval).
- An undergraduate degree.
- Completion of applicable securities industry courses offered by the Canadian Securities Institute, including: Canadian Securities Course, Branch Managers Course, and Partners, Directors, and Senior Officers Qualifying Exam.
- Demonstrated knowledge and understanding of relevant securities legislation and SRO rules and regulations.
- Extensive knowledge of MS Office applications, including Word, Excel, PowerPoint, and Outlook.
- Familiarity and experience with common securities transaction processing systems, including RPM.
- Ability to work independently and under pressure.
- Strong conflict resolution, organizational, and communication skills.
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