Reporting to the Senior Manager, the Assistant Branch Manager is responsible for supporting the Branch Managers and providing operational and administrative support and assisting the Branch Managers with compliance supervision.
Specifically, you will:
1. Provide administrative support by:
• Preparing Branch Review documentation and presentation materials, as requested by Branch Managers.
• Preparing meeting agendas and meeting materials and documents.
• Preparing pre-audit questionnaires and reports for annual site reviews performed by Branch Managers.
• Preparing site review reports of findings and follow up for resolution of deficiencies.
• Preparing other branch reports as required.
• Reviewing daily blotters.
• Approving KYC updates and new accounts.
• Staying informed regarding industry trends and issues.
• Ensuring compliance policies and procedures are followed.
2. Provide operational support by:
• Assisting with branch review activities.
• Participating in special projects
• Respond to advisors and their staff regarding their questions on administrative issues
• Find solutions to pending items on behalf of advisors by dealing with different head office departments
• Follow up with departments when responses have not been received
3. Contribute to the effective functioning of the branch team by:
• Building effective working relationships with branches, various business lines and corporate contacts.
• Maintaining a high level of customer service.
• Facilitating a culture of open and honest communication.
• Actively participating and contributing to team meetings.
• Encouraging the generation of new ideas and approaches.
• Actively sharing knowledge and experience to enhance the development of all team members.
• Developing and executing a meaningful employee development plan.
• University degree or equivalent post-secondary education an asset.
• 2+ years of experience in the financial services industry, meet Supervisor experience requirement.
• Recent (non-expired) course completions of the Canadian Securities Course (CSC) and the Conduct and
Practices Handbook (CPH).
• Completion of the Investment Dealer Supervisors Course will be required
• Intermediate/Advanced Skills in Microsoft Office (Excel, PowerPoint and Word).
• Strong organization and team skills.
• Excellent written and verbal communication skills.
• Ability to take initiative and work independently.
• Ability to meet deadlines.