Retail Banking & Branch Management/Telework/Permanent/Quebec City, Montreal, Toronto/Desired start date: As soon as possible
Do you like juggling multiple priorities, being in contact with multiple stakeholders, all while using your problem-solving skills? The retail banking & branch management team at iA Private Wealth needs you to support their mission.
Reporting to the Senior Branch Manager, the Branch Manager oversees all aspects of branch compliance supervision and its continuous improvement.
Your responsibilities will include:
Ensuring compliance with corporate policies and industry regulatory bodies, as well as developing & maintaining relationships with Advisors by:
Performing Tier 1 Supervision of registrants in assigned branches.
Conducting 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 as well as other branch reports as required
Reviewing daily, monthly, and quarterly activity blotters.
Approving KYC updates and new accounts.
Staying informed regarding industry trends and issues.
Reviewing and following up on all head office corporate audits to ensure compliance and attention to deficiencies and 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.
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 Private Wealth departments and service teams.
Your career path looks like this:
University degree or equivalent post-secondary education;
2+ years of experience in the financial services industry, more specifically in an environment regulated by IIROC;
Completion of the Canadian Securities Course (CSC) and of the Conduct and Practices Handbook (CPH);
Completion of the Branch Managers Course is preferred, but not mandatory;
Options Licensing and Supervisors Course will be required;
Must be able to be licensed as a Supervisor/Registered Representative (RR Supervisor);
Ability to understand and interpret applicable Regulatory legislation;
Excellent problem solving, organizational and communication skills;
You thrive by getting things done in compliance with various programs, and you wish to be part of a performing and national team? Apply here!