We are currently seeking a Corporate Branch Manager. In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of CI Assante Wealth Management Ltd.(AWM), a member of the Canadian Investment Regulatory Organization (CIRO), is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and procedures.

WHAT YOU WILL DO

• Overall supervisory responsibility for an assigned group of AWM registered individuals and branch/sub-branch office locations under their supervision

• Approval of all new accounts, New Account Application Forms and related required documentation to ensure completeness and follow-up on any deficiencies noted within a reasonable time frame

• Ensure registered individuals are properly registered, do not exceed requirements of their registration, provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products, disclose all outside business activities to Head Office Compliance, and only conduct activities for which they are registered for or have otherwise obtained approval from Head Office Compliance

• Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of close supervision as determined by Head Office Compliance

• Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements

• Report any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to Head Office Compliance immediately

• Be responsible for ongoing education and training of both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures

• Ensure all client and branch files are current and up-to-date and contain all required documents

• Effectively control access to supervisory records and files to ensure client confidentiality

• Periodic visits with sub branch locations as part of ensuring overall compliance and effective supervision of registered individuals

• Report regularly to DCCO in relation to:

• Overall level and effectiveness of branch and supervision of registered individuals and compliance with securities regulatory requirements and internal supervisory and compliance policies and procedures

• Specific supervisory challenges relating to registered individuals

• Performance and results of any internal or external branch examinations performed across any branch/sub-branch office locations under their supervision

• Inquiries, requests for information from the Securities Commissions or local offices of CIRO

• Client complaints, lawsuits or allegations of misconduct levied against any registered individuals or branches

WHAT YOU WILL BRING

• Minimum 5 years securities industry experience, with minimum 2 years experience as a Branch Manager or Compliance Officer with a CIRO dealer firm

• Experience with a securities commission or self-regulatory organization would be an asset

• CIRO licensed or will be required upon hire (subject to regulatory approval)

• An undergraduate degree

• Completion of applicable securities industry courses offered by the Canadian Securities Institute or by CIRO

• Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.

• Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook

• Familiarity and experience working with common securities transaction processing systems, including RPM

• Ability to work independently and under pressure

• Strong conflict resolution, organizational, and communication skills

WORKING CONDITIONS

• Regular travel required

WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Training Reimbursement
• Paid Professional Designations
• Employee Savings Plan (ESP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Topup program
• Paid time off for Volunteering

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking Apply. Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates (CI) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us