Compliance

3 weeks ago

Mississauga, Canada Investment Planning Counsel Full time

**Corporate Branch Manager, IPCIC**

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 IPCIC Compliance team is currently growing We are currently seeking a Corporate Branch Manager, IPCIC, for a **14-month contract position**. This individual will be responsible for 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 IPCIC Policies and Procedures. The Corporate Branch Manager, IPCIC, will also be responsible for delivering registrant training, promoting a culture of compliance and building awareness of the importance of risk management. This is a hybrid position where the individual will be required to come into the office for two days a week.

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

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

**What is the role of the Corporate Branch Manager, IPCIC?**

Supervise the activities of an assigned group of Advisors; fulfilling all requirements for Tier 1 supervision as defined by CIRO Rules and IPCIC’s Policies and Procedures. These duties include, but are not limited to:

- Daily review and approval of NAAFs, KYC updates and trading activity
- Monitoring for compliance with CIRO and IPCIC requirements
- Following up, monitoring and tracking inquires and deficiencies and taking corrective action
- Review and approval of leverage proposals and transactions in leveraged accounts
- Perform branch visits of assigned Advisors and reporting on the status of compliance
- Monitor for appropriate controls and other areas of potential risk and/or fraud
- Provide training or guidance to Advisors that you will be supervising
- Assist and support IPCIC Advisors to ensure that they fully understand the requirements set out in IPCIC’s National Policies and Procedures Manual and Compliance Bulletins
- Participate in the development and delivery of educational materials and programs to IPCIC Advisors
- Respond to and troubleshoot Advisor inquiries and problems
- Participate in various compliance projects, assignments and initiatives as requested from time to time
- Provide regular and ad-hoc reporting to Management on the status of supervision

**What are the preferred qualifications for a Corporate Branch Manager, IPCIC?**
- Minimum 5 years of experience in the Financial Industry with a Mutual Fund Dealer or Investment Dealer, including prior Branch Manager experience
- 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 a Mutual Fund Dealer Corporate Branch Manager immediately with no added terms and conditions on registration
- Experience working in a Mutual Fund 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
- Awesome recognition: kudos, all-star program, rising star, and the circle of excellence
- Awesome Leadership teams that know your name
- Awesome hybrid working environment

If you continue in the selection process, please notify us of any particular accommodation you might require. Any information you send us will be treated with complete confidence.

**Directeur ou directrice de succursale de l’entreprise,** **IPCIC**

Grâce à votre formation, à vos compétences et à votre expérience, vous menez une brillante carrière dans le secteur de la gestion du patrimoine. Mais avez-vous trouvé votre cabinet idéal, celui qui vous encourage à adopter un style de vie équilibré ainsi qu’à réussir sur le plan professionnel?

Notre équipe Conformité, IPCIC s’agrandit. Nous sommes actuellement à la recherche d’un directeur ou d’une directrice de succursale de l’entreprise, IPCIC, pour un **poste contractuel de 14 mois**. Cette personne sera chargée des fonctions de supervision quotidienne des conseillers affectés à sa région. Elle veillera à ce qu’une supervision appropriée soit effectuée et à ce que la preuve de cette supervision soit consignée, conformément aux politiques et procédures d’IPCIC. Le directeur ou la directrice de succu

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