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Multilingual Corporate Branch Supervisor
3 months ago
At CI Investments Inc., we believe in fostering a workplace that prioritizes safety, inclusivity, and empowerment. Our employees are encouraged to take ownership of impactful projects, engage in innovative initiatives, and pursue personal growth.
POSITION SUMMARY
We are actively looking for a Corporate Branch Manager. The ideal candidate will oversee operations in branch and sub-branch offices, ensuring compliance with all relevant securities regulations and internal policies. This role involves supervising registered personnel and managing compliance standards for Assante's dealerships, Assante Financial Management (AFM) and Assante Capital Management (ACM).
KEY RESPONSIBILITIES
- Supervise a designated group of AFM and ACM registered personnel and branch locations.
- Authorize new accounts and ensure all necessary documentation is complete and accurate.
- Ensure that registered individuals maintain compliance with registration requirements and provide necessary disclosures to clients.
- Monitor the performance of registered individuals during their training and supervision periods.
- Conduct daily and monthly reviews of trades and accounts, addressing any deficiencies noted.
- Report significant client service issues or complaints to Head Office Compliance promptly.
- Facilitate ongoing training for both registered and non-registered representatives on regulatory updates and compliance policies.
- Maintain an organized filing system for client and branch records, ensuring confidentiality and accessibility.
- Conduct annual visits to sub-branch locations to ensure compliance and effective supervision.
- Regularly report to the Chief Compliance Officer and Vice President of Compliance regarding branch operations and compliance challenges.
QUALIFICATIONS
- A minimum of 5 years of experience in the securities industry, including at least 2 years in a managerial or compliance role.
- Fluency in French is required.
- Experience with a securities regulatory body is advantageous.
- Must possess or be willing to obtain MFDA or IIROC licensing upon hire.
- A bachelor's degree is required.
- Completion of relevant securities industry courses is necessary.
- Strong understanding of securities legislation and SRO regulations.
- Proficient in MS Office applications.
- Experience with securities transaction processing systems is preferred.
- Ability to work independently and manage pressure effectively.
- Excellent conflict resolution, organizational, and communication skills.
WORK ENVIRONMENT
- Travel is a regular requirement of this position.
BENEFITS
CI Investments Inc. is committed to providing a supportive and empowering work environment. We offer:
- Competitive compensation and recognition programs.
- Opportunities for professional development and training.
- Comprehensive health and wellness benefits.
- Open channels for communication and feedback.
We are dedicated to building a diverse and inclusive workforce. If you are interested in this opportunity, we encourage you to apply and explore the potential for your career with us.
