Branch Manager
1 week ago
Branch Manager (Mutual Funds) – Hybrid – Investment / Wealth Management
Are you an experienced Mutual Fund Trade Supervisor or Branch Manager? Do you thrive in a compliance-focused environment and enjoy leading advisors toward strong, ethical practice? Are you ready for a hybrid role with a respected Wealth Management firm where you can make an immediate impact? If so, this opportunity may be the next step in your career.
About the Role
Our client, a reputable firm in the Investment and Wealth Management industry, is seeking an experienced Branch Manager with a strong background in mutual fund supervision. This hybrid position requires 1–2 days per week onsite, along with occasional travel. The ideal candidate brings strong regulatory knowledge, leadership ability, and hands-on experience in trade supervision, internal audits, and compliance oversight. Candidates must be immediately registrable with the provincial securities commission and experienced in supervising advisors within a dynamic environment.
Key Responsibilities
Review and approve new account applications and KYC updates; conduct Tier 1 and/or Tier 2 trade reviews; review and approve holding-out materials including websites, newsletters, advertising, co-op marketing, and social media; provide research support to advisors; complete Rule 500 and internal audits; manage various compliance-related projects; support back-office operations and regulatory adherence; participate in internal and external audits, inspections, and occasional onsite branch visits.
Must-Have Experience
Minimum of 3 years in a supervisory role (Branch Manager, Trade Supervisor, or similar); experience with NRD administration and/or internal audits is preferred; strong understanding of mutual fund regulatory and compliance requirements; knowledge of back-office dealer operations; ability and willingness to work onsite 1–2 days per week, including mandatory attendance during peak periods such as the final week of RSP season; willingness to travel occasionally for branch inspections; collaborative and adaptable team player.
Mandatory Proficiencies (One of the Following)
Option A: CSC plus the Branch Compliance Officer Course, Investment Dealer Supervision Course, or Partners, Directors & Senior Officers Course.
Option B: Investment Funds Course (IFC—not the operations version) plus the MFDA Branch Manager's Course.
Candidates must be fully registrable as supervising officers.
Core Competencies
Strong supervisory skills; excellent verbal and written communication; detail-oriented with strong analytical and investigative thinking; ability to train and be trained; adaptability to new technology; ability to recognize key compliance risks.
Technical Skills
Intermediate to advanced proficiency in Microsoft Excel, Word, and PowerPoint; professional and respectful communication style; ability to challenge constructively; strong capability in identifying compliance control gaps and risk factors.
Why Join Our Client?
Opportunity to work with a respected and growing firm in the Wealth Management industry; hybrid work environment; meaningful leadership role with real supervisory authority; supportive and collaborative team culture; exposure to a broad range of compliance and operational responsibilities.
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