Corporate Branch Manager

The Corporate Branch Manager plays a key role within our organization. As a true cornerstone between compliance, supervision, and the development of advisor relationships, they ensure operational fluidity and actively contribute to the overall performance of our branches.

Responsibilities:

• Ensure compliance with regulatory requirements, internal policies, and industry oversight bodies.

• Provide Level 1 supervision of registered individuals in the assigned branches.

• Conduct branch visits to review practices and recommend improvements.

• Prepare branch visit reports, follow up on action plans, and resolve identified issues.

• Review daily, monthly, and quarterly reports.

• Approve new client account openings and KYC updates.

• Maintain strong relationships with clients, advisors, and internal partners.

• Participate in leadership meetings and contribute to strategic development.

• Stay informed on industry trends and emerging issues.

• Ensure the implementation and enforcement of compliance policies.

• Review head office audits, address findings, and implement corrective measures.

• Ensure internal controls are in place and functioning properly.

• Identify and implement process improvements.

• Organize monthly meetings with supervised advisors.

• Train advisors and support staff on applicable policies and procedures.

• Maintain thorough documentation of supervisory activities, approvals, and follow-ups.

• Identify recurring trends and initiate targeted training actions.

Profile Sought:

• University degree in business administration, finance, or a related field.

• Minimum of 2 years of experience in a branch supervision role or a similar position.

• Significant experience in branch supervision or a comparable role (2 years).

• Completion of the Canadian Securities Course (CSC).

• Completion of the Conduct and Practices Handbook (CPH).

• Completion of the Branch Managers Course.

• Options Licensing Course and Supervisor Course will be required.

• Licensed as a supervisor/registered representative.

• Excellent communication and leadership skills.

• Ability to work under pressure and meet deadlines.

• In-depth knowledge of financial products and services (securities).

• Ability to understand, analyze, and interpret regulatory legislation.

• Mobilizing leadership focused on accountability, positive influence, and talent development.

• Strong client orientation, demonstrated by a proactive, professional, and empathetic approach.

• Adaptability and the ability to manage priorities in a constantly evolving environment.

• Collaborative team spirit, fostering cooperation and synergy across the organization.

• Resilience and rigor in handling complex or high-pressure situations.

• Initiative and analytical mindset oriented toward continuous process improvement.