Branch Manager

Branch Manager

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Build the future with us

Are you driven by iA Private Wealth mission and eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Branch Manager, you will play a key role in overseeing all aspects of branch compliance supervision. Some travel may be required.

This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

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What you’ll accomplish with us

 As a Branch Manager, you’ll be at the core of our mission. Here are the main responsibilities:

• Ensure compliance with corporate policies and industry regulatory bodies 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; reviewing daily, quarterly and monthly activity blotters.

• Approving KYC updates and new accounts.

• Ensuring compliance policies and procedures are followed and put into practice.

• Reviewing and following up on all head office corporate audits to ensure compliance and attention to deficiencies and providing responses back to head office.

• 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 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.

• Develop and maintain value-added, on-going relationships with Advisors by:

• Offering ideas on how advisors can work more effectively within the firm’s guidelines.

• Assisting advisors in understanding and implementing compliance rules in their business.

• Working with Advisors when new policies are introduced to ensure their understanding of them.

• Manage the quality and efficiency of branch operations by:

• Resolving and responding to risks that arise on a daily basis in a timely manner.

• Contributing to the on-going development of policies and procedures.

What could accelerate your success in this role

 We’re looking for someone who:

• University degree or equivalent post-secondary education.

• 2+ years of experience in the financial services industry..

• Options Licensing and Supervisors Course preferred.

• Must be able to be licensed as an Investment Dealer Supervisor/Registered Representative (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.  

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Why you’ll love working with us

· A work environment where learning and development merge with a collective pursuit of excellence;

· A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed;

· The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces;

· Competitive benefits: Flexible group insurance, competitive pension plan, stock purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and much more!

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Apply now and get ahead of your career, where your talent really belongs!

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Still unsure about applying?

At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply – your place might be with us, and we want to get to know you!

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The base salary for this role ranges between $90, 000 - $100, 000 annually.