- Employer: iA Securities
- City: Montréal
- Job category: Business Administration, Finance and Accounting
- Job ID: J1017-0966
- 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 will be responsible for a number of branch and sub-branch locations within a specific geographical territory. The key responsibility of this position will be to provide Tier 1 supervision of registrants in assigned branches. Some travel may be required. Additional responsibilities include:
•Coordinating and monitoring licensing, compliance, applicable administration, and new advisor registration
•Conducting branch site visits to review branch practices and offer solutions
•Preparing branch site visit reports of findings and follow up for resolution of deficiencies
•Reviewing daily and monthly activity blotters, with quarterly review for centralized team
•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;
•Training Advisors and support staff on new and existing policies and procedures;
•Reviewing and following up on previous day’s trades;
•Following up on questionable trades and escalating as necessary;
•Participating in compliance conferences;
•Being a resource for the field.
•Holding monthly meetings with advisors under supervision
•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 of Registered Representatives (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 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.