Corporate Branch Manager
1 week ago
Job Title: Corporate Branch Manager - Compliance Expert
Company: iA Financial Group
Location: Remote
Language: English and French
Job Type: Full-time
About the Role:
We are seeking a highly experienced Corporate Branch Manager to join our team at iA Financial Group. As a key member of our compliance team, you will be responsible for ensuring that our mutual fund industry operations are in compliance with regulatory requirements.
Key Responsibilities:
- Ensure compliance policies and procedures are maintained at each office;
- Review and approve new account openings;
- Ensure compliance with suitability requirements;
- Provide supervision of trades and advice given to clients;
- Supervise Branch Manager and/or Representative activities;
- Review and follow up on previous day's trades;
- Follow up on questionable trades and escalate as necessary;
- Complete KYC update review and approval;
- Provide training and education to the field;
- Provide coverage and support to other Corporate Branch Managers on the team;
- Provide support to our order affirmation team and other compliance teams as needed;
- Monitor trends, communicate findings and implement corrective actions;
- Act as a resource for the field;
Requirements:
- University degree or equivalent post-secondary education;
- Excellent knowledge of the mutual fund industry;
- Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
- Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;
- Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;
- Ability to understand, analyze and interpret Regulatory legislation;
- Advanced level of English and French language skills as the person will be required to communicate (also supervise and train) about 80% of the time with colleagues and advisors in both languages.
What We Offer:
iA Financial Group offers a competitive salary and benefits package, as well as opportunities for professional growth and development.
How to Apply:
If you are a motivated and experienced compliance professional looking for a new challenge, please submit your application.
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