Bilingual Corporate Branch Manager
- Employer: Fundex Inc.
- Office: 400, Applewood Crescent
- City: Concord
- Province: Ontario
- Job category: Legal and Compliance Services
- Job ID: JR10001097
- Job type: Permanent Job Full time
iA Financial Group is the fourth largest life and health insurance company in Canada and offers a wide range of products for all stages of life and to meet the needs of clients across its vast sales network. Founded in 1892, iA Financial Group’s stability and solidity make it an employer of choice that invests in its employees and their development over the long term.
With operations across Canada and in the United States, iA Financial Group and its over 5,000 employees work hard every day to offer the best service to over four million clients.
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 is required.
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.
Also, we are 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.