Corporate Branch Manager
- Employer: Investia Financial Services
- City: Vaughan
- Job category: Legal and Compliance
- Job ID: J0618-0916
- Job type: Regular full time
Company OverviewInvestia Financial Services Inc., a member of iA Financial Group, has been in operation since 1999. This growing and dynamic company offers a wide range of products and services related to the distribution of investment funds and segregated funds in order to meet the savings and retirement needs of its clients. With offices in British Columbia, Alberta, Ontario, Quebec and Nova Scotia, Investia has become a major national player, with more than 13.27 billion dollars in assets under administration. Because of its growth context and the mobility of its structure, Investia can offer its employees development opportunities.
Reporting to the Coordinator of Corporate Branch Managers, the Corporate Branch Manager will be responsible for providing coverage to several branch and/or sub-branch locations. The key responsibilities involve compliance oversight to our network of mutual fund sales advisors. Please note, this role will be an “in-house” role, working out of the Vaughan location, however minimal travel may be required.
• Ensuring policies and procedures are maintained at each office within their region;
• Ensuring compliance with suitability requirements;
• Reviewing and approving new account openings;
• Providing supervision of trades and advice given to clients;
• Supervising Branch Manager and/or Representative activities;
• Reviewing and following up on previous day’s trades;
• Following up on questionable trades and escalating as necessary;
• Completing KYC update review and approval;
• Participating in compliance conferences;
• Providing training and education to the field;
• Monitor trends, communicating findings and implementing corrective actions;
• Acting as a resource for the field;
• Acting as backup coverage, as required;
• Other projects as assigned.
• University degree or equivalent post-secondary education;
• Excellent knowledge of the mutual fund industry;
• Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
• Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;
• Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;
• 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.
• Fluent in both French and English would be an asset.
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 email@example.com
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.