Corporate Branch Manager - Hybrid in Mississauga
|English verbal and written||Criminal Check at time of placement|
|Start Period||Date Posted|
|Two weeks +||Friday, September 9, 2022|
Our client, a boutique wealth management firm, is currently looking to hire a Branch Manager to join their team in Mississauga.. This is a full-time permanent opportunity and they offer a hybrid model, requiring the successful candidate to work on-site at least twice a week. This role requires the candidate to be registered as a Branch Manager and have successfully completed either or both their CSC and/or IFC license. This opportunity includes a a competitive salary, full benefits, 3 weeks of vacation, bonus, and more!
Roles and Responsibilities
- Completion of daily Tier 1 Trade Review Protocol that includes but not limited to daily review and approval of new plan account opening, KYC updates, trades and other investment documents review and approval.
- Monitoring and ensuring that all assigned Advisors are operating within MWC Policies and Procedures, MFDA Rules and conduct.
- Follow-up and closing all identified trade deficiencies during daily Tier 1 Review with the proper documentation evidencing steps taken to ensure that the identified deficiency has been addressed in a timely manner.
- Review, and/or recommend for approval to NCM on new fund(s) requested by advisors.
- Review of submitted Reportable/Outside Business Activities for NRD registration.
- Identify and escalate any areas of non-compliance to the CCO.
- Completion of Yearly Branch/Sub-branch Location Questionnaire and/or as it may become necessary, conduct a physical visit of sub-branch locations.
- 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.
- Report any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to MWC CCO.
- Completion of Monthly Branch Manager.
- Collaborate and participate with CCO & NCM on all compliance projects, initiatives and/or programs.
- Coordination with other departments to find quick resolution of BM escalated operational issues such as preparation of LOIs, trade corrections among others.
- Providing continuous training and coaching to assigned Head Office Branch Advisors
- Review and report as required any AP who may be subject to supervisory requirements or may be potentially in breach of MWC Compliance Policies and Procedures and MFDA Regulations
- Collaborate with CCO in the development and delivery of educational materials and programs for MWC Mutual Fund Advisors.
- Ensure they continue to take the necessary industry proficiencies/education/CE Credits as may be required by law, or by the SRO for continued registration and in the discharge of their duties.
Qualifications and Experience
- Must be registered with the NRD as a Branch Manager
- Must have completed either or both Investment Funds Course or Canadian Securities Course completion.
- Must have completed any of the following courses: Branch Manager’s Course Exam offered by CSI Global Education, Inc, Branch Manger’s Course Exam Offered by IFSE, and/or Branch Compliance Officers Course Exam offered by CSI Global Education Inc
- Must have 3-5 years of experience, specifically coming from wealth management
- Must have the ability to be adaptable
- Strong written and oral communications
- Must be very organized
- Must be proactive
- Must have the ability to train, coach & motivate co-workers and advisors under supervision.
- Must be able to handle escalating situations and have strong conflict resolution skills.
If interested in this opportunity, then please apply today for immediate consideration!
We’re an equal opportunities employer committed to increasing diversity and inclusion in today’s workforce. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. Minorities, women, LGBTQ candidates, and individuals with disabilities are encouraged to apply. If you require an accommodation, please review our accessibility policy and reach out to our accessibility officer with any questions.
Merci de l’intérêt que vous manifestez pour ce poste. La description du poste nous a été fournie en anglais par notre client. Si vous souhaitez passer l’entrevue avec nous en français ou fournir votre CV en français, nous vous confierons à une personne de notre équipe qui parle français.
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