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
Compliance oversight programs and risk mitigation for financial advisors
Domain
Financial services / Investment banking / Wealth management
Required skills
Regulatory compliance knowledge, Trade supervision, Account management, Risk assessment, Audit findings management, Performance metrics analysis, Data reporting, Project management, Subject matter expertise, Travel readiness
Preferred skills
Bilingualism (French/English), Growth mindset, Matrixed organization experience, Managed account supervisor registration
Technologies
CIRO regulatory frameworks, OSC regulations, OSFI-regulated environment tools, 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, Proactively identify data and technology needs for supervision accountability, Support investment dealer initiatives with subject matter expertise, Conduct supervisory branch visits
Seniority
Senior, hands-on IC