Corporate Branch Manager
Core
Ensure compliance and operational excellence for corporate branch managers and advisors in the mutual fund industry.
Role type
Senior compliance supervisor and branch operations lead
Builds
Compliance frameworks, trade oversight, and client account management processes
Domain
Financial services / Mutual funds
Deliverable
client delivery
Required skills
Regulatory legislation interpretation, compliance policy management, trade supervision, KYC review, suitability analysis, team training, trend monitoring
Preferred skills
Mutual fund industry expertise, advanced French and English proficiency
Technologies
None explicitly stated
Responsibilities
Provide support and coverage to Corporate Branch Managers; assist order affirmation and compliance teams; maintain compliance policies; review and approve new account openings; supervise trades and client advice; oversee Branch Manager activities; review previous day's trades; follow up on questionable trades; complete KYC update reviews; provide training to the field; monitor trends and implement corrective actions.
Seniority
Senior, hands-on IC with supervisory responsibilities