Corporate Branch Manager (Vancouver)

Description

Do you have experience working in the mutual fund industry? Do you enjoy Compliance and working with advisors? This could be the perfect opportunity for you!

What YOU will be doing?

• Supervision of trading activities for a region of mutual fund advisors as follows:
• Supervision of Representative activities; Ensuring compliance policies and procedures are maintained at each office; Providing training and education to our salesforce;
• Acting as a resource for the salesforce;
• Reviewing and approving new account openings;
• Ensuring compliance with suitability requirements;
• Providing supervision of trades and advice given to clients;
• Completing KYC update review and approval;
• Reviewing and following up on previous day’s trades;
• Following up on questionable trades and escalating as necessary;
• Monitoring trends, communicating findings and implementing corrective actions;
• Conducting Advisor visits in the Lower Mainland, Vancouver Island and BC Interior on as needed basis
  
  

Providing support to internal colleagues as needed;

• Providing coverage and support to other Corporate Branch Managers within the Account Supervision teams;
• Providing support to our order affirmation team, other compliance teams, and other business units as needed;
• Involvement in compliance projects
  
  

 Qualifications:

• 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 Relevant and Current Exchanged Traded Funds and Liquid Alternatives Courses
• 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.
• Strong proficiency in English, both written and oral. Ability to communicate in Mandarin is an asset
  
  

Qualified candidates will be contacted. Thank you for your interest in iA Financial Group!