Branch Manager

2 months ago

Mississauga, Canada The Canada Life Assurance Company Full time

Permanent Full Time

Investment Planning Counsel (IPC) is one of Canada's leading independent wealth management firms. We are a diverse group of people all driven towards one goal: helping our advisors build a better business through a remarkable client experience.

In November 2023, Canada Life acquired IPC. Canada Life is a member of the Power Financial Corporation group of companies and serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States.

With the acquisition, IPC and Canada Life’s existing wealth platforms create one of Canada’s leading wealth providers.

**What you will do**
- Supervise the activities of an assigned group of Advisors in a given region; fulfilling all requirements for Tier 1 supervision as defined by CIRO Rules and IPC Policies and Procedures
- Deliver registrant training, promote a culture of compliance and build awareness risk management
- 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 you will bring**
- 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
- 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

We offer a competitive salary with other components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.

Be your best at Canada Life

Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.

You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.

Together, as part of a great team, you’ll deliver on our shared purpose to improve the well-being of Canadians. It’s our driving force. Become part of a strong and successful company that’s trusted by millions of Canadians to do the right thing.

Canada Life serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations.

We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee has the opportunity to reach their potential.

Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.

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