• Corporate Branch Manager (Mutual Funds)

    Job Category
    Compliance
    Primary Job Location
    CA-ON-Richmond Hill
    Job Type
    Full Time
  • Job Description

     

    Company: Global family of companies  

    Location: Richmond Hill, ON  

    Position: Corporate Branch Manager  

    Department: Global Maxfin Investments Inc.  

    Reports to: Senior Compliance Manager

    As Global family of companies, we are a market leader in providing financial services and education savings plans for Canadian families through our network of over 800 established sales associates across Canada, and continuing our tradition of innovation and excellence.

    Key Accountabilities

    The role of the Corporate Branch Manager is to monitor, identify, communicate, advise and report on the member’s compliance with regulatory requirements. The key responsibility of this position is to provide compliance oversight to our network of financial advisors.

    Major Responsibilities

    • Completing New Account Application Form (NCAF) and Know Your Client Update (KYC) reviews and approvals on a daily basis for new and existing accounts;
    • Reviewing and approval of daily wired and non-wired trades, leveraged loan documentation submitted by the advisors for their clients;
    • Ensuring compliance with suitability requirements as per regulatory and company policies and procedures guidelines as MFDA mutual fund dealer;
    • Reviewing and following up on previous day’s trades, communicating with advisors for issues and questions;
    • Following up on questionable trades and escalating to management when necessary;
    • Review and approval of Outside Business Activities (OBA) and Limited Trade Authorization (LTA), Advisor Change Forms submitted by advisors;
    • Review and approve all Sales & Marketing Materials and websites of advisors;
    • Reviewing and filing close supervision reports for advisors under Close Supervision;
    • Educating Advisors on regulatory requirements, compliance bulletins and internal policies;
    • Assisting Chief Compliance Officer, Compliance Manager and colleagues with ad hoc projects

    Requirements

    • Minimum three years Compliance work experience with Mutual Fund Dealers Association (MFDA) or Investment Industry Regulatory Organization of Canada (IIROC) firm;
    • Completion of Canadian Investment Funds Course (IFIC) or Canadian Securities Course (CSC), and Branch Manager’s Examination (IFIC);
    • Completion of Conduct and Practices Handbook (CPH) , Officers Partners Directors (OPD)/ Partners, Directors and Senior Officers Course (PDO) are strongly preferred;
    • Must be willing for some travel when necessary

    Competencies and Attributes

    • Excellent verbal and written communication skills;
    • Ability to stay organized with multiple priorities and tight deadlines a must;
    • Ability to work with minimal supervision while maintaining accuracy, efficiency and quality of deliverables;
    • Detail-oriented and a strong sense of confidentiality;
    • Proficiency with Microsoft Office Applications (Word, Excel);
    • Thorough and Results Oriented;
    • Strong commitment to client service

     

    Global values the diversity of our workplace and a working environment where everyone has the opportunity to realize his or her full potential.  We gladly provide accommodations to any candidate with a disability taking part in the selection process upon request.

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