Corporate Branch Manager

CI Investments Inc.; Golden Horseshoe; On-site; CAD 110,000 - 150,000; Full time

Benefits offered by this job

Employee Savings Plan (ESP)

Corporate Discount Program

Enhanced group benefits

Parental Leave

Top–up program

Paid time off for Volunteering

Job summary

CI Financial Corp. is seeking a Corporate Branch Manager in Ontario to oversee a group of AWM registered individuals and branch locations, ensuring compliance with securities regulations and internal policies.

The role requires extensive securities industry experience, CIRO familiarity, and strong leadership with a focus on training and risk management. Regular travel is required and CI Financial offers a robust benefits package.

Qualifications

• Minimum 5 years securities industry experience, with minimum 2 years’ experience as a Branch Manager or Compliance Officer with a CIRO dealer firm.
• Experience with a securities commission or self-regulatory organization would be an asset.
• CIRO licensed or will be required upon hire (subject to regulatory approval).
• Demonstrated knowledge of securities legislation and SRO rules and regulations.
• Extensive knowledge of MS Office applications.
• Familiarity with RPM and other securities processing systems.
• Ability to work independently and under pressure.
• Strong conflict resolution, organizational, and communication skills.

Responsibilities

• Overall supervisory responsibility for an assigned group of AWM registered individuals and branch locations.
• Approve new accounts, Forms and related documentation; follow up on deficiencies promptly.
• Ensure registered individuals are properly registered and disclose activities to Head Office Compliance.
• Monitor trainees during the 90-Day Training Program, 6-month supervision, and close supervision periods.
• Complete and provide evidence of deficiencies from daily/monthly reviews per regulatory requirements.
• Report client service issues and misconduct allegations to Head Office Compliance immediately.
• Provide ongoing education and training on regulatory requirements.
• Ensure client and branch files are current and confidential.
• Periodically visit sub-branch locations to ensure compliance and supervision.
• Report to DCCO on supervision effectiveness and regulatory compliance.
• Address supervisory challenges and outcomes of internal/external branch exams.
• Inquiries from Securities Commissions or CIRO must be handled.
• Handle client complaints, lawsuits or misconduct allegations against registered individuals or branches.

Skills

Strong communication skills

Organizational skills

Conflict resolution

Independent work

Education

Undergraduate degree

Securities industry courses (CSI/CIRO)

Tools

MS Office (Word, Excel, PowerPoint, Outlook)

RPM securities processing system

Job description

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

We are currently seeking a Corporate Branch Manager. In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of CI Assante Wealth Management Ltd.(AWM), a member of the Canadian Investment Regulatory Organization (CIRO), is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and procedures.

WHAT YOU WILL DO

• Overall supervisory responsibility for an assigned group of AWM registered individuals and branch/sub-branch office locations under their supervision
• Approval of all new accounts, New Account Application Forms and related required documentation to ensure completeness and follow-up on any deficiencies noted within a reasonable time frame
• Ensure registered individuals are properly registered, do not exceed requirements of their registration, provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products, disclose all outside business activities to Head Office Compliance, and only conduct activities for which they are registered for or have otherwise obtained approval from Head Office Compliance
• Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by Head Office Compliance
• Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements
• Report any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to Head Office Compliance immediately
• Be responsible for ongoing education and training of both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures
• Ensure all client and branch files are current and up-to-date and contain all required documents
• Effectively control access to supervisory records and files to ensure client confidentiality
• Periodic visits with sub branch locations as part of ensuring overall compliance and effective supervision of registered individuals
• Report regularly to DCCO in relation to: Overall level and effectiveness of branch and supervision of registered individuals and compliance with securities regulatory requirements and internal supervisory and compliance policies and procedures
• Specific supervisory challenges relating to registered individuals
• Performance and results of any internal or external branch examinations performed across any branch/sub-branch office locations under their supervision
• Inquiries, requests for information from the Securities Commissions or local offices of CIRO
• Client complaints, lawsuits or allegations of misconduct levied against any registered individuals or branches

WHAT YOU WILL BRING

• Minimum 5 years securities industry experience, with minimum 2 years’ experience as a Branch Manager or Compliance Officer with a CIRO dealer firm
• Experience with a securities commission or self-regulatory organization would be an asset
• CIRO licensed or will be required upon hire (subject to regulatory approval)
• An undergraduate degree
• Completion of applicable securities industry courses offered by the Canadian Securities Institute or by CIRO
• Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
• Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
• Familiarity and experience working with common securities transaction processing systems, including RPM
• Ability to work independently and under pressure
• Strong conflict resolution, organizational, and communication skills

WORKING CONDITIONS

• Regular travel required

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.

A Supportive Environment for Success

We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.

WHAT WE OFFER

• Employee Savings Plan (ESP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave
• Top–up program
• Paid time off for Volunteering

We are focused on building a diverse and inclusive workforce.

CI Financial Corp. and all of our affiliates ("CI") are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at [e-mail], or call 416-364-1145 ext. 4747.

CI Financial is an independent company offering global wealth management and asset management advisory services. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.