Bilingual Corporate Branch Manager

Nevian Consulting & Placement Services Inc.; Canada; Hybrid; CAD 80,000 - 85,000; Full time

Job summary

A well-established investment organization in Montreal is seeking a Bilingual Corporate Branch Manager. This permanent, full-time position involves compliance oversight and supervisory responsibilities within a dynamic team. Candidates are required to have relevant qualifications and experience in the financial services industry, along with strong communication skills in both English and French.

Benefits

Full benefits after 3 months

RRSPs

Qualifications

• Must have completed relevant Canadian financial courses.
• Minimum two years in compliance role, ideally with MFDA dealer.
• Strong bilingual communication skills required.

Responsibilities

• Provide compliance oversight to a network of financial advisors.
• Conduct daily supervisory reviews and approve trades.
• Educate advisors on regulatory requirements and company policies.

Skills

Bilingual (English and French)

Analytical skills

Interpersonal skills

Conflict resolution skills

Organizational skills

Education

Canadian Securities Course

Canadian Investments Funds Course

Branch Manager Course

Tools

MS Word

MS Excel

MS Access

MS PowerPoint

Job description

New career opportunity for an experienced Bilingual Corporate Branch Manager for a well established and growing Mutual Fund Dealer/ Investment organization in Montreal, Qc. The key responsibility of this role would be to provide compliance oversight to their network of financial advisors. This is a full time, hybrid (3 days in RH office, 2 days wfh) and permanent position. Salary: 80K - 85K, full benefits after 3 months, RRSPs .

Responsibilities

The Bilingual Corporate Branch Manager is responsible for providing Daily Tier 1 supervision of the Investment organization and must have a good understanding of investment products, the MFDADealer Member rules, Canadian anti-money laundering guidelines, Canadian privacy laws and the Universal Market Integrity Rules (UMIR). The key responsibilities of this position will be to provide compliance oversight to our network of financial advisors.

• Review and complete Tier 1 and Tier 2 outstanding supervisory inquiries
• Completing the New Account Application Form (NCAF ) and Know Your Client Update ( KYC ) reviews and approvals on a daily basis for new and existing accounts
• Review and approve daily wired and non-wired trades, address change report and leveraged loans
• Ensuring compliance with suitability requirements as per regulatory and company policies and procedures guidelines as MFDA mutual fund dealer
• Reviewing and following up on historical trades, communicating with advisors for issues and questions
• Following up on questionable trades and escalating high risk matters to the CCO immediately
• Review and approval of Outside Business Activities ( OBA ) and Limited Trade Authorization ( LTA )
• Review and approve all Marketing Materials, Social Medias and Advosor’s websites
• Reviewing and completing close supervision reports for advisors under close supervision
• Educating Advisors on regulatory requirements, compliance bulletins and internal policies
• Assisting Chief Compliance Officer and colleagues with ad hoc projects

Qualifications

• Must have completed the Canadian Securities Course /Canadian Investments Funds Course and Branch Manager Course
• Minimum two years of experience in a compliance role, preferably with an MFDA dealer or a similar background (e.g. IIROC dealer)
• Strong English and French verbal and written communication skills
• Must have a good understanding of how the investment/securities industry functions.
• Good understanding of regulatory requirements and industry rules.
• Analytical skills and good judgement.
• Must be organized and be able to work to very tight time schedules.
• Ability to work independently with minimal direction and in a team environment.
• Strong interpersonal skills and strong conflict resolution skills.
• Strong commitment to the work
• Strong working knowledge of MS Applications including Word, Excel, Access, and PowerPoint