- Employer: iA Securities
- City: Toronto/ GTA
- Job category: Legal and Compliance
- Job ID: J0518-0329
- Job type: Regular full time
Company OverviewDo you want to work for an established and growing Canadian company in our Quebec City, Montreal or Toronto offices, or in one of the service points in our extensive Canada-wide network?
iA Securities (iAS) is a brokerage firm which offers equities, bonds and pooled investment funds to institutional and retail clients.
Our network of investment advisors supports and guides clients in their investment decisions. We also offer securities trading consulting and research services with respect to capital markets and institutional financing.
A member of iA Financial Group, iAS is led by an experienced team, driven by a desire to serve our clients with professionalism while conducting business in accordance with the highest industry standards.
Reporting to the Senior Branch Manager, the Branch Manager oversees all aspects of branch operations and compliance supervision in order to help the branch become more successful and will play a significant role in assisting the strategic direction of the business. Some travel may be required. Additional responsibilities include:
1. Ensure compliance with corporate policies and industry regulatory bodies by;
• Performing Tier 1 Supervision of registrants in assigned branches
• Coordinating and monitoring licensing, compliance, applicable administration, and new advisor registration
• Conducting semi-annual branch site visits to review branch practices and offer solutions
• Preparing branch site visit reports of findings and follow up for resolution of deficiencies
• Preparing other branch reports as required
• Reviewing daily, quarterly and monthly activity blotters
• Approving KYC updates and new accounts
• Staying informed regarding industry trends and issues
• Ensuring compliance policies and procedures are followed and put into practice
• Reviewing and following up on all head office corporate audits to ensure compliance and attention to deficiencies. Providing responses back to head office
• Ensuring appropriate internal controls are in place and functional
• Proactively identifying and implementing any process and procedural improvements
• Holding monthly meetings with advisors under supervision
• Training Advisors and Support Staff on new and existing applicable policies and procedures
• Ensuring that appropriate corrective actions are implemented in a timely manner
• Ensuring proper maintenance of evidence of supervisory reviews, approvals and activities, such as inquiries made, replies received, actions taken, date of completion, etc.
• Liaising with the Compliance Department, identifying patterns and on-going concerns to be addressed through training initiatives
• Facilitating an escalation process for Advisors, and for other issues and concerns, with applicable iA Securities departments and service teams
2. Develop and maintain value-added, on-going relationships with Advisors by:
• Building relationships with Advisors to help them find solutions to their issues and concerns
• Offering ideas on how advisors can work more effectively within the firm’s guidelines while increasing production
• Assisting advisors in understanding and implementing compliance rules in their business
• Working with the Regional Director to strengthen relationships with Advisors, by assessing their needs and providing information to assist with their business
• Working with Advisors when new policies are introduced to ensure their understanding of them
3. Manage the quality and efficiency of branch operations by;
• Resolving and responding to risks that arise on a daily basis in a timely manner
• Introducing and answering questions surrounding applicable Company products and services
• Communicating new policies and procedures to the branch’s support staff and advisors to ensure all lines of business work together to help advisors grow
• Facilitating effective communication between Advisors, other departments and Head Office
• Conducting regular meetings with Advisors and branch support staff
• Contributing to the on-going development of policies and procedures
• Using effective time management skills to prioritize completion of tasks and issues
•University degree or equivalent post-secondary education.
•2+ years of experience in the financial services industry, with some branch and sales management experience.
•Completion of the Canadian Securities Course (CSC).
•Completion of the Branch Managers Course, Effective Management Seminar.
•Completion of the Conduct and Practices Handbook (CPH).
•Must be able to be licenced as a Supervisor or Registered Representative (RR Supervisor)
•Ability to understand, analyze and interpret Regulatory legislation.
•Excellent problem solving, organizational and communication skills.
•Ability to work both independently and as part of a team.
iA Financial Group is committed to fostering a workplace that promotes diversity and inclusion. We can provide accommodation in our recruitment and selection processes to applicants with disabilities where required. Please contact your Recruiter, or send an email to firstname.lastname@example.org
iA Financial Group is committed to having an equal access employment program and welcomes applications from women, visible minorities, Aboriginal peoples and disabled persons. Any use of the masculine form is to simplify the text and includes the feminine form.