Branch Manager, Mutual Funds Compliance

iA Financial Group (Industrial Alliance)


Date: 2 weeks ago
City: Remote, Remote
Contract type: Full time
Remote
Description

Division: Investia Status: Permanent, Full Time Location: Must be located in either BC, Alberta or Saskatchewan Way of Working: Telework

Do you have experience working in the mutual fund industry? Do you enjoy Compliance and working with advisors? This could be the perfect opportunity for you!

What will YOU be doing?

Supervision of trading activities for a region of mutual fund advisors as follows:

  • Supervision of Representative activities;
  • Ensuring compliance policies and procedures are maintained at each office;
  • Providing training and education to our salesforce;
  • Acting as a resource for the salesforce;
  • Reviewing and approving new account openings;
  • Ensuring compliance with suitability requirements;
  • Providing supervision of trades and advice given to clients;
  • Completing KYC update review and approval;
  • Reviewing and following up on previous day’s trades;
  • Following up on questionable trades and escalating as necessary;
  • Monitoring trends, communicating findings and implementing corrective actions;

Providing support to internal colleagues as needed;

  • Providing coverage and support to other Corporate Branch Managers within the Account Supervision teams;
  • Providing support to our order affirmation team, other compliance teams, and other business units as needed;
  • Involvement in compliance projects

What we are looking for:

  • University degree or equivalent post-secondary education;
  • Excellent knowledge of the mutual fund industry;
  • Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
  • Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;
  • Completion of Relevant and Current Exchanged Traded Funds and Liquid Alternatives Courses
  • Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;
  • Ability to understand, analyze and interpret Regulatory legislation.

What's in it for you?

  • A top-notch health and dental plan, complete with a health spending account and wellness account to keep you feeling your best.
  • A reliable pension plan so you can plan for your future with confidence.
  • Who doesn't love a little extra cash? Enjoy annual bonus opportunities!
  • Our generous vacation and personal leave day policies have got you covered.
  • Balance your work and personal life with flexible working hours and telecommuting options whenever you want!
  • Keep growing professionally with our continuous support for learning and development, helping you climb the career ladder.

If you're looking for a challenging yet rewarding opportunity where you can apply your skills and grow professionally, we'd love to hear from you. Don't miss this chance to join our team!

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