Corporate Branch Manager

4 weeks ago

Vancouver, British Columbia, Canada CI Financial Full time

At CI Financial, we are seeking a seasoned professional to fill the role of Corporate Branch Manager. This position is responsible for ensuring that all business conducted in branch/sub-branch office locations under their 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 required documentation to ensure completeness and follow-up on any deficiencies noted within a reasonable time frame.
  • Ensure registered individuals are properly registered, do not exceed requirements of their registration, and provide all appropriate disclosure forms to clients as required.
  • Monitor registered individuals during the initial 90-Day Training Program and the 6-month supervision period.
  • Complete and provide evidence of and follow up on any deficiencies noted in the 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 of registered individuals.
Requirements:
  • Minimum 5 years securities industry experience, with minimum 2 years' experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm.
  • 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.
  • Familiarity and experience working with common securities transaction processing systems.
  • Ability to work independently and under pressure.
  • Strong conflict resolution, organizational, and communication skills.

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.

We offer a range of benefits, including a modern HQ location, flexible work program, equipment purchase program, training reimbursement, paid professional designations, employee share purchase program, corporate discount program, enhanced group benefits, parental leave top-up program, fitness membership discounts, volunteer paid days, and complimentary vending machines.

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

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