Regional Branch Manager
- Employer: Investia Financial Services
- City: Winnipeg
- Job category: Legal and Compliance
- Job ID: J0818-0711
- 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.
We are currently looking for a Regional Branch Manager to join our team, and flexible with considering candidates located anywhere in British Columbia, Alberta, Manitoba or Ontario, and open to considering the candidate working remotely.
Reporting to the Coordinator for Regional Branch Managers, the Regional Branch Manager will be responsible for providing coverage to a number of branch and sub-branch locations within a specific geographical territory. The key responsibilities of this position will be to provide compliance oversight to our network of mutual fund sales people. Please note, some travel may be required.
•Tier 2 and Tier 1 Supervision;
•Providing training/coaching to independent Branch Managers/representatives
•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 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;
•Being a resource for the field.
•Other projects as assigned
•University degree or equivalent post-secondary education.
•Excellent knowledge of the mutual fund industry.
•Minimum of 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry.
•Completion of the Canadian Investment Funds Course or Canadian Securities Course.
•Completion of the Branch Managers Course and 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.
•Excellent learning capacity, judgement, initiative and accountability.
•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 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.