Bilingual Corporate Branch Manager
Core
Ensure business conducted in branch/sub-branch office locations is in compliance with securities regulatory requirements and internal policies for two dealerships (AFM and ACM).
Role type
Senior IC corporate branch manager (securities compliance)
Builds
Compliance oversight for branch operations and registered individuals
Domain
Financial services / Securities regulation
Deliverable
client delivery
Required skills
Securities industry supervision, regulatory compliance, account approval, trade review, client complaint handling, staff training, filing system management, regulatory reporting
Preferred skills
Experience with securities commissions/SROs, knowledge of RPM system
Technologies
MS Office (Word, Excel, PowerPoint, Outlook), RPM
Responsibilities
Approve new accounts and documentation, monitor registered individuals during training and supervision periods, conduct daily/monthly trade and account reviews, report significant client service issues or misconduct, oversee ongoing education for staff, maintain client files, perform annual visits to sub-branches, report to Head Office Compliance
Seniority
Senior, hands-on IC