Corporate Branch Manager, IPCIC

2 weeks ago

Mississauga, Canada Investment Planning Counsel Full time

Corporate Branch Manager, IPCIC

With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?

Our IPCIC Compliance team is currently growing We are currently seeking a Corporate Branch Manager, IPCIC, for a 14-month contract position . This individual will be responsible for dail y su p e rvisor y functio n s ove r Advisors assigned to their respective region, e n s u ring a ppr o pr i ate s u pervis i on i s perf o rm e d an d evid e n c e o f suc h su pe r visio n i s ma i n tained , i n a ccorda n c e wit h IPCIC Polic i es a n d Pr o c e dur e s. The Corporate Branch Manager, IPCIC, will also be r e s p ons i ble for d e livering reg i str a nt training, pr o m ot i ng a cult u re o f compli a n ce and bui l ding aw a re n ess of the importa n ce of r i sk mana g em e n t. This is a hybrid position where the individual will be required to come into the office for two days a week.

WE WANT YOU TO JOIN OUR TEAM OF WINNERS

At Investment Planning Counsel we’ve designed every aspect of the Corporate Branch Manager, IPCIC role with you in mind.

What is the role of the Corporate Branch Manager, IPCIC?

Superv i s e th e activitie s o f a n assig n e d grou p o f Advis o rs; fulfilling all requirements for Tier 1 supervision as defined by CIRO Rules and IPCIC’s Policies and Procedures . These duties include, but are not limited to:

  • Daily review and approval of NAAFs, KYC updates and trading activity
  • Monitoring for compliance with CIRO and IPCIC requirements
  • Following up, monitoring and tracking inquires and deficiencies and taking corrective action
  • Review and approval of leverage proposals and transactions in leveraged accounts
  • Perform branch visits of assigned Advisors and reporting on the status of compliance
  • Monitor for appropriate controls and other areas of potential risk and/or fraud
  • Provide training or guidance to Advisors that you will be supervising
  • Assist and support IPCIC Advisors to ensure that they fully understand the requirements set out in IPCIC’s National Policies and Procedures Manual and Compliance Bulletins
  • Partici p ate i n th e develop m en t an d deli v er y o f educational materia l s a n d pro g ra m s to IPCIC Advis o rs
  • Respond to and troubleshoot Advisor inquiries and problems
  • Participate in vario u s c o m p liance pro j ec t s, assi gn m e n t s and initiatives a s requested from time to time
  • Provide regular and ad-hoc reporting to Management on the status of supervision

What are the preferred qualifications for a Corporate Branch Manager, IPCIC?

  • Minimum 5 years of experience in the Financial Industry with a Mutual Fund Dealer or Investment Dealer, including prior Branch Manager experience
  • C ompletion of the Canadian S e curiti e s Co u rse (C S C), Conduct and Practices Handbook Course (CPH), Branch M a nagers Course (CSI) and/or IFSE equivalents is mandatory
  • Applicable proficiencies to supervise sale of Alternative Funds and ETFs or ability to obtain within 3 months
  • Ability to be registered and approved as a Mutual Fund Dealer Corporate Branch Manager immediately with no added terms and conditions on registration
  • Experience working in a Mutual Fund Dealer Compliance environment with a good working knowledge of Univeris and/or other back-office software solutions preferred
  • Working knowledge of Microsoft Suite of products (Word, Excel, Power Point, Outlook)
  • Have valid driver’s license and access to reliable transportation

What is #lifeatIPC?

  • Awesome support in providing industry-leading training to help you succeed in your role
  • Awesome community involvement opportunities through IPC Cares
  • Awesome perks: benefits that fit your needs
  • Awesome recognition: kudos, all-star program, rising star, and the circle of excellence
  • Awesome Leadership teams that know your name
  • Awesome hybrid working environment

If you continue in the selection process, please notify us of any particular accommodation you might require. Any information you send us will be treated with complete confidence.

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