Bilingual Corporate Branch Manager

**ABOUT US**

Founded in 1995, CI Assante Wealth Management is a wholly owned subsidiary of CI Financial and one of Canada’s largest wealth management firms. Our 750 professional advisors, located in communities throughout the country, oversee approximately $39 billion in assets for more than 300,000 clients. CI Assante Wealth Management's services include investment management, retirement planning, tax planning, insurance and estate planning.

**POSITION**: Bilingual Corporate Branch Manager
**LOCATION**: Montreal / Toronto - open to other locations in Canada
**STATUS**: Full-time

**JOB OVERVIEW**

**WHAT YOU WILL DO**
- Overall supervisory responsibility for an assigned group of AFM and ACM registered individuals and branch/sub-branch office locations under their supervision
- Approval of all new accounts, New Account Application Forms (NAAF) 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, provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products, disclose all outside business activities to Head Office Compliance, and only conduct activities for which they are registered for or have otherwise obtained approval from Head Office Compliance
- Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by Head Office Compliance
- Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements
- Report any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to Head Office Compliance immediately
- Be responsible for ongoing education and training of both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures
- Establish an effective filing system to ensure all client and branch files are current and up-to-date and contain all required documents
- Effectively control access to supervisory records and files to ensure client confidentiality
- Minimum of annual visits with sub branch locations as part of ensuring overall compliance and effective supervision of registered individuals
- Report regularly to CCO & VP, Compliance (Head Office) in relation to:

- Overall level and effectiveness of branch and supervision of registered individuals and compliance with securities regulatory requirements and internal supervisory and compliance policies and procedures
- Specific supervisory challenges relating to registered individuals
Performance and results of any internal or external branch examinations performed across any branch/sub-branch office locations under their supervision
- Inquiries, requests for information from the Securities Commissions or local offices of IIROC or the MFDA
- Client complaints, lawsuits or allegations of misconduct levied against any registered individuals or branches
- Maintain open and effective relations with staff from Commissions, IIROC and MFDA

**WHAT YOU WILL BRING**
- 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
- An undergraduate degree
- Completion of applicable securities industry courses offered by the Canadian Securities Institute including: Canadian Securities Course, Branch Managers Course, and Partners, Directors and Senior Officers Qualifying Exam
- Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
- Familiarity and experience working with common securities transaction processing systems, including RPM
- Ability to work independently and under pressure
- Strong conflict resolution, organizational, and communication skills

**WORKING CONDITIONS**
- Regular travel required

**WHAT YOU CAN EXPECT FROM US**

Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through:

- Recognition & Compensation
- Training & Development
- Health & Well-being
- Communication & Feedback

If you are a passionate, committed and dynamic individual, please submit your resume in confidence by clicking “**Apply**”.

Posting Tag: IND#