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Corporate Branch Manager

2 months ago

Toronto, Ontario, Canada CI Financial Full time
Job Overview

We are seeking a seasoned professional to fill the role of Corporate Branch Manager at CI Financial. As a key member of our team, you will be responsible for ensuring that our business operations are conducted in compliance with applicable securities regulatory requirements and internal policies.

Key Responsibilities
  • Supervisory Oversight: Provide overall supervisory responsibility for a group of registered individuals and branch locations, ensuring compliance with regulatory requirements and internal policies.
  • Account Approval: Approve all new accounts, ensuring completeness and follow-up on any deficiencies noted within a reasonable timeframe.
  • Registered Individual Management: Ensure registered individuals are properly registered, do not exceed registration requirements, and provide all necessary disclosure forms to clients.
  • Training and Education: Monitor registered individuals during the initial training period and provide ongoing education and training to ensure awareness of new and revised regulatory requirements.
  • Compliance and Risk Management: Identify and report any significant client service issues, including allegations of wrongdoing and verbal or written complaints.
  • Branch Operations: Establish an effective filing system, control access to supervisory records, and ensure client confidentiality.
  • Reporting and Communication: Regularly report to the Chief Compliance Officer and Vice President, Compliance on branch performance, supervisory challenges, and compliance matters.
Requirements
  • Experience: Minimum 5 years of securities industry experience, with at least 2 years as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm.
  • Licenses and Certifications: MFDA or IIROC licensed, with completion of applicable securities industry courses offered by the Canadian Securities Institute.
  • Skills: Demonstrated knowledge of securities legislation and SRO rules, extensive knowledge of MS Office applications, and ability to work independently and under pressure.