Ensuring compliance policies and procedures are maintained at each office
Reviewing and approving new account openings
Ensuring compliance with suitability requirements
Providing supervision of trades and advice given to clients
Supervising Branch Manager and/or Representative activities
Reviewing and following up on previous day’s trades
Following up on questionable trades and escalating as necessary
Completing KYC update review and approval
Providing training and education to the field
Providing coverage and support to other Corporate Branch Managers on the team
Providing support to our order affirmation team and other compliance teams as needed
Monitoring trends, communicating findings and implementing corrective actions
Acting as a resource for the field.

Completion of one of the Following : Canadian Investment Funds Course (CIFC) and Exempt Market Products Course, OR Canadian Securities Course (CSC)
Completion of the Branch Managers Course or either the OPD (Officers, Partners and Directors) or PDO (Partners, Directors and Officers) Course
2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry
Strong analytical abilities to understand and interpret regulatory legislation
Ability to train, coach, and support field teams
Excellent knowledge of the mutual fund industry.

Corporate Branch Manager

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