Branch Compliance Manager

3 weeks ago

Toronto, Canada Alterna Full time

**Scope of Position**

Under the direction of the VP, Wealth Management (WM), the Branch Compliance Manager (BCM), is responsible for all aspects of tier 1 mutual fund compliance duties for licensed representatives. This includes reviewing suitability of mutual fund trades and approval of account opening documentation ensuring risk and objectives are in accordance with regulatory guidelines. Conduct compliance audits annually and review processes with VP/Director of Wealth. Provide day to day support to branches and call centre staff with product and procedural related questions. Ensures satisfactory onboading and training of newly licensed representatives, supervision, oversight and final sign-off upon completion of established requirements.

**Major Responsibilities**

MFDA (Mutual Fund Dealers Association) Compliance
- Daily Transaction Blotter/ New Client list verified and signed on a daily basis
- Onboarding, training and new representative supervision
- Prepare audit results and submit to the mutual fund compliance dept.
- Prepare Error/Complaint report monthly
- Prepare and submit quarterly reports to the mutual fund dealer compliance department
- Carry out all new mutual fund license registration, de-registration, transfers, renewals within required time frame
- Co-ordinate New Representative Proficiency exam
- Provide appropriate reports to mutual fund representatives to effectively prepare and monitor Money Laundering tracking spreadsheet
- Conduct monthly file reviews on new Mutual Fund Representatives
- Assist Mutual Fund Representatives in mailing, New Representative Introductory letters, Know Your Client review letters
- Approve out going correspondence as required

Registered Product Administration and Support
- Provide day to day support to branch staff on registered product legislation (RRSP, RRIF, RESPs, LIRAs and LIFs)
- Request reports to ensure annual minimum RIF payments are being made
- Coordinate conversion of RRSPs to RRIFs for members turning age 69.
- Set up LIF/LRIF plans for members

Estate Administration and Wealth Management (WM) Support
- Train and provide support to new investment administrators on daily processing
- Provide day-to-day support to the WM sales team
- Educate and assist mutual fund reps with form completion and procedures
- Back up for CAM/CSI/Estate administration

**Expectations / Outcomes**
- To ensure that Mutual Funds Representatives are following compliance procedure and industry regulations and ensuring that mutual fund purchases are suitable for clients based on the Know Your Client/Know Your Product (KYC/KYP) protocols.

**Qualifications**

***Educations / Certifications / Experience
- Successful completion of Mutual Funds Course
- Successful completion of Mutual Funds Branch Manager’s Course
- Post-secondary degree/diploma in a related field considered an asset
- 3-year experience in a similar role

Knowledge / Skills
- Computer skills in MS Office, specifically MS Word, Excel and Outlook
- Aptitude and experience in reconciling numbers and problem solving
- Work experience in the financial industry, compliance is an asset

Competencies
- Excellent communication skills both written and verbal
- Excellent interpersonal and decision-making skills
- Demonstrated ability to work independently
- Commitment to professional growth through continuing education
- Excellent organizational skills with the ability to meet deadlines

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