Corporate Branch Manager

2 weeks ago

Mississauga, Canada Investment Planning Counsel Full time

With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?

Our MFDA Compliance team is currently growing We’re seeking a Corporate Branch Manager, MFDA, who will perform daily supervisory functions over Advisors assigned to their respective region, ensuring appropriate supervision is performed and evidence of such supervision is maintained, in accordance with MFDA Rules and IPCIC Policies and Procedures. The Corporate Branch Manager, MFDA is also responsible for delivering registrant training, promoting a culture of compliance and building awareness of the importance of risk management. When we return to the office in the coming months, this role will require a mínimal amount of travel for branch visits. However, you will have the ability to work remotely from home several days per week.

**_WE WANT YOU TO JOIN OUR TEAM OF WINNERS_**

At Investment Planning Counsel we’ve designed every aspect of the Corporate Branch Manager, MFDA role with you in mind.

**What is the role of the Corporate Branch Manager, MFDA?**
Supervise the activities of an assigned group of Advisors; fulfilling all requirements for Tier 1 supervision as defined within MFDA Policy 2, IPCIC’s Supervisory Standard Operating Procedures and IPCIC’s Policies and Procedures. These duties include but are not limited to:

- Daily review and approval of NAAFs, KYC Updates and Trades
- Monitoring for compliance with IPCIC and MFDA standards of conduct
- Following up, monitoring and tracking inquires and deficiencies, taking corrective action
- Providing review/approval of leverage proposals and transactions in leveraged accounts
- Performing reviews of all business locations being supervised on a rotational basis and reporting on the status of compliance
- Monitoring for appropriate controls and other areas of potential risk and/or fraud
- Providing training or guidance to Advisors where required
- Assisting and supporting MFDA Advisors to ensure that they fully understand the requirements set out in IPCIC’s National Policies and Procedures Manual, the rules, policies and by-laws of the MFDA, and all Compliance Bulletins
- Participating in the development and delivery of educational materials and programs to IPCIC Advisors
- Responding to and troubleshooting Advisor inquiries and problems
- Participating in various compliance projects, assignments and initiatives as requested from time to time
- Providing regular and ad-hoc reporting to Management on the status of supervision

**What are the preferred qualifications for a Corporate Branch Manager, MFDA?**
- Minimum 5 years of experience in the Financial Industry, with an MFDA or IIROC dealer, including prior Branch Manager experience
- Bilingual English/French is required for this role
- Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Branch Managers Course (CSI) and/or IFSE equivalents is mandatory
- Applicable proficiencies to supervise sale of Alternative Funds and ETFs or ability to obtain within 3 months
- Ability to be registered and approved as an MFDA Branch Manager immediately with no added terms and conditions on registration
- Experience working in the MFDA Dealer Compliance environment with a good working knowledge of Univeris and/or other back-office software solutions preferred
- Working knowledge of Microsoft Suite of products (Word, Excel, Power Point, Outlook)
- Have valid driver’s license and access to reliable transportation

**What is #lifeatIPC?**
- Awesome support in providing industry-leading training to help you succeed in your role
- Awesome community involvement opportunities through IPC Cares
- Awesome perks: benefits that fit your needs, pension, share purchase plan, corporate discount plans, social events, summer hours, and fun
- Awesome recognition: kudos, all-star program, rising star, and the circle of excellence
- Awesome Leadership teams that know your name
- If you continue in the selection process, please notify us of any particular accomodation you might require. Any information you send us will be treated with complete confidence_

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