Founded in 1995, Assante Wealth Management is one of Canada’s largest firms providing wealth management solutions. Our 830 professional advisors, located in communities throughout the country, have approximately $43 billion of Canadian's family wealth under their care.
POSITION: Corporate Branch Manager, AFM & ACM
LOCATION: Winnipeg (R3M 3Y9)
We are currently seeking a Corporate Branch Manager. In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of Assante’s two dealerships, Assante Financial Management (AFM), a member of the Mutual Fund Dealers’ Association (MFDA) and Assante Capital Management (ACM), a member of the Investment Industry Regulatory Organization of Canada (IIROC), is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and procedures.
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 provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products;
Ensure that registered individuals are properly registered and ensure that registered individuals do not exceed requirements of their registration;
Ensure that registered individuals disclose all outside business activities to Head Office Compliance and that registered individuals 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
Follow-up on any deficiencies noted in the daily and monthly reviews within an appropriate time frame
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
MFDA 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 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.
Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
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
Regular travel required within MB with occasional travel to Head Office (Toronto) as 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”.
Only qualified candidates selected for an interview will be contacted.
CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and we are committed to providing accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, or require this posting in an additional format, please contact us at email@example.com, or call 416-364-1145 ext. 4747. If you are contacted by CI regarding a job opportunity or testing and require accommodation in any stage of the recruitment process, please use the above contact information. We will work with all applicants to determine appropriate accommodation for individual accessibility needs.