Corporate Branch Manager

1 month ago


Vancouver, British Columbia, Canada CI Financial Full time
Job Overview

CI Financial is seeking a highly skilled and experienced Corporate Branch Manager to join our team. As a key member of our organization, you will be responsible for ensuring the business conducted in branch/sub-branch office locations under your supervision is in compliance with applicable securities regulatory requirements and internal supervisory and compliance policies and procedures.

Key Responsibilities
  • Overall supervisory responsibility for an assigned group of registered individuals and branch/sub-branch office locations
  • Approval of all new accounts and related documentation to ensure completeness and follow-up on any deficiencies
  • Ensure registered individuals are properly registered and provide all necessary disclosure forms to clients
  • Monitor registered individuals during the initial 90-Day Training Program and 6-month supervision period
  • Complete and provide evidence of and follow up on any deficiencies noted in daily and monthly trade and account reviews
  • Report any significant client service issues to Head Office Compliance immediately
  • Be responsible for ongoing education and training of both registered and non-registered representatives
  • Establish an effective filing system to ensure all client and branch files are current and up-to-date
  • Effectively control access to supervisory records and files to ensure client confidentiality
  • Minimum of annual visits with sub-branch locations to ensure overall compliance and effective supervision
Requirements
  • Minimum 5 years securities industry experience, with minimum 2 years' experience as a Branch Manager or Compliance Officer
  • Fully proficient in French
  • Experience with a securities commission or self-regulatory organization would be an asset
  • MFDA or IIROC licensed or will be required upon hire (subject to regulatory approval)
  • An undergraduate degree
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute
  • Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations
  • Extensive knowledge of MS Office applications and common securities transaction processing systems
  • Ability to work independently and under pressure
  • Strong conflict resolution, organizational, and communication skills
What We Offer
  • Modern HQ location within walking distance from Union Station
  • Flexible & Hybrid Work Program
  • Equipment Purchase Program
  • Training Reimbursement
  • Employee Share Purchase Program (ESPP)
  • Corporate Discount Program
  • Enhanced group benefits
  • Parental Leave Top–up program
  • Fitness membership discounts
  • Volunteer paid Days


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