Corporate Branch Manager (Vancouver)

iA Financial Group; Vancouver; On-site; CAD 70,000 - 90,000; Full time

Job summary

A leading financial services company seeks a Compliance Supervisor for mutual fund advisors. The ideal candidate will have a degree and extensive experience in compliance, with strong communication skills. Responsibilities include ensuring regulatory compliance, training staff, and supervising trading activities. This position is pivotal in supporting advisor activities across the region.

Qualifications

• Minimum 2-3 years compliance supervision experience.
• 3-5 years in the mutual fund industry.
• Completion of Canadian Investment Funds Course.

Responsibilities

• Supervise trading activities for mutual fund advisors.
• Ensure compliance with policies and procedures.
• Provide training and support to salesforce.

Skills

Compliance supervision

Understanding regulatory legislation

Communication

Training and education

Education

University degree or equivalent post-secondary education

Job description

Job Description

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 YOU will be doing

• Supervision of trading activities for a region of mutual fund advisors:

• 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;
• Conducting advisor visits in the Lower Mainland, Vancouver Island, and BC Interior as needed.

Providing support to internal colleagues as needed

• Providing coverage and support to other corporate branch managers within the account supervision teams;
• Supporting our order affirmation team, other compliance teams, and business units;
• Involvement in compliance projects.

Qualifications

• 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 Exchange 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;
• Strong proficiency in English, both written and oral. Ability to communicate in Mandarin is an asset.

Qualified candidates will be contacted. Thank you for your interest in iA Financial Group!

Location(s): Vancouver, British Columbia

Other Possible Location(s): [Specify if applicable]

Company: Investia Financial Services Inc.

Posting End Date: 2025-06-30

Company Overview

iA Financial Group is a company with a human side, employing over 8,000 people. We have earned the trust of over four million clients and 25,000 advisors, offering insurance, savings, and wealth management services.

With over $200 billion in assets and significant investment in technological innovation, we are a key player in the financial services industry in Canada and the US. Our success relies on investing in our people and supporting industry leaders.

At iA, we’re invested in you.

Our Commitment to Diversity and Inclusion

We support and celebrate diversity, striving to provide an inclusive workplace for all. If you need assistance with the recruitment process, please Contact us here.