Corporate Branch Manager

iA Financial Group•Vancouver, BC

6d•CA$84,691 - CA$111,156•Hybrid

About The Position

As a Corporate Branch Manager, you will play a key role in overseeing advisor activities, supporting compliance operations, being a relationship manager and maintaining strong regulatory standards across the organization. In this role, you will support a region of advisors by reviewing and approving new accounts and KYC updates, supervising trades, and helping ensure compliance with regulatory requirements and internal policies. You'll also be a trusted partner of advisors, providing guidance, and support while collaborating closely with compliance teams and internal business partners to promote best practices and protect client interests. This is an excellent opportunity to apply your compliance expertise, industry knowledge, and sound judgment within a collaborative and people-focused environment where your contributions will make a meaningful impact every day. At iA Financial Group, you'll find a culture built on trust, collaboration, and continuous development, along with the flexibility and support to help you grow your career and reach your full potential.

Requirements

Holds a university degree or equivalent post-secondary education.
Brings strong knowledge of the mutual fund industry and its regulatory environment.
Has a minimum of 2 to 3 years of compliance supervision experience and 3 to 5 years of experience in the financial services industry.
Has completed the Canadian Investment Funds Course (CIFC) and Exempt Market Products Course (EMP), or the Canadian Securities Course (CSC).
Has completed the Relevant and Current Exchange-Traded Funds and Liquid Alternatives Courses.
Has completed the Branch Managers Course (BMC).
Demonstrates the ability to understand, analyze, and interpret regulatory requirements and legislation.
Possesses a strong command of the English language, both spoken and written.

Responsibilities

Supervise trading activities for a region of independent mutual fund advisors, ensuring compliance with regulatory requirements and internal policies.
Oversee Representative activities and maintain compliance policies and procedures across all assigned offices.
Review and approve new account openings and KYC updates, ensuring suitability requirements are met and documentation is accurate and complete.
Investigate and follow up on questionable transactions, and escalate issues as required.
Monitor trends, communicate findings to stakeholders, and implement corrective actions to mitigate risks and enhance compliance.
Provide education, expert guidance, and ongoing support, serving as a trusted resource for advisors.
Provide coverage and support to other Corporate Branch Managers within the Account Supervision team to ensure seamless operations.
Support the order affirmation team, compliance teams, and other business units by delivering timely expertise and collaboration.
Participate in compliance-related projects and initiatives that support continuous improvement and regulatory excellence.