Corporate Branch Manager
Core
Execute branch manager supervision activities for investment dealer-registered advisors to ensure compliance with regulatory requirements and established policies.
Role type
Senior IC compliance supervisor (investment dealer)
Builds
Oversight programs for investment dealer-registered advisors
Domain
Financial services / Wealth management / Investment dealing
Required skills
Regulatory compliance knowledge, Trade supervision, Account management, Risk assessment, Data analysis, Project management, Stakeholder communication, Change management
Preferred skills
Bilingualism (French/English), Matrix organization experience, Complex project management
Technologies
CIRO regulatory frameworks, OSFI regulations, Three lines of defense model
Responsibilities
Execute trade supervision and account opening/management functions, Manage and escalate first line supervision risk and compliance issues, Identify performance metrics and control gaps, Support investment dealer initiatives with subject matter expertise
Seniority
Senior, hands-on IC