Branch Manager
2 weeks ago
**Job Description Branch Manager**
Reporting to the Chief Compliance Officer (CCO), the Tier-1 Supervisor (Branch Manager) will conduct Tier-1 supervision of Advisors (Approved Persons) in accordance with MFDA and Equity Associates policies and procedures.
**Responsibilities**:
- Responsible for Daily supervision of MFDA registered advisors
- Assist with investigations related to complaints, reports, investigations, regulatory inquiries, as required
- Identify and escalate any areas of non-compliance
- Review marketing and leverage materials
- Provide education, training, and support to advisors
- Special projects as per CCO
**Requirements**:
- Successful completion of The Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC); Exempt Market Proficiency Course (EMP), and related courses
- Able to be immediately licensed as a Branch Manager (MFDA)
- Successful completion of the Branch Manager’s Examination Course (BM) or The Branch Manager’s Course (BMC)
- Ability for some travel (5-10% of the role will involve travel)
- Proficient with Microsoft Office (Word, Excel, Access)
**Preferred Qualifications**
- Post-Secondary education
- Proven track record with 2+ years of experience in a similar supervisory role
- 5+ years experience in the financial industry
- Equity Associates Inc. has an accommodation process in place that provides accommodations for employees with disabilities. If you require a specific accommodation because of a disability or a medical need, please contact Equity Associates at 905.305.0400._
- This ensures that the appropriate accommodations are in place before you begin your employment._
**Salary**: $50,000.00 to $60,000.00 /year
**Salary**: $55,000.00-$65,000.00 per year
**Benefits**:
- Extended health care
- On-site parking
Schedule:
- 8 hour shift
- Monday to Friday
Work Location: One location
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