Investment Fund Specialist / Branch Manager

Franklin Templeton; Toronto; On-site; CAD 60,000 - 100,000; Full time

Job summary

An established industry player is seeking an Investment Fund Specialist/Branch Manager to enhance client relationships and ensure compliance with regulatory standards. This pivotal role involves providing sound investment advice while managing a branch office. The ideal candidate will possess a strong sales and marketing mindset, exceptional communication skills, and a commitment to client service excellence. Join a dynamic firm that values diversity and inclusion, offering a supportive environment where you can thrive professionally and personally. This is a unique opportunity to contribute to a firm dedicated to helping clients achieve their investment goals.

Benefits

Flexible medical, dental and vision insurance

Corporate Pension Plan

Employee Stock Investment Program

Purchase company funds with no sales charge

Competitive vacation package

Company paid short-term and long-term Disability Insurance

Education assistance

Qualifications

• 5+ years in financial services with 2+ years as a registered salesperson.
• University degree or equivalent experience preferred.

Responsibilities

• Manage client relationships and provide investment advice.
• Ensure compliance with regulatory standards and policies.

Skills

Client Relationship Management

Sales and Marketing Mindset

Interpersonal Skills

Communication Skills

Bilingual in French

Education

University Degree or College Diploma

Registered Salesperson Experience

Tools

Regulatory Compliance Tools

Job description

At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs.

Come join us in delivering better outcomes for our clients around the world!

What is FTC Investor Services Inc. responsible for?

FTC Investor Services Inc. is a registered mutual fund dealer affiliated with Franklin Templeton Canada responsible for managing and growing an existing client book of business through seeking referrals from existing clients via proactive sales and client servicing.

What is the Investment Fund Specialist/Branch Manager responsible for?

The Investment Fund Specialist/Branch Manager will be responsible for providing clients with sound advice regarding their investments and plan types. In addition, the individual will play the role of Branch Manager for the head office branch to ensure all transactions are carried out in accordance with all regulatory, client and enterprise risk expectations.

What are the ongoing responsibilities of an Investment Fund Specialist/Branch Manager?

Client Relationship Management:

• Proactively contact existing clients regarding their portfolio asset mix and investment selection with the goal of deepening existing relationships and securing additional assets
• Provide clients with top-tier advice on investments and suitable plan types
• Support the team’s sales and client service efforts, fostering positive relationships with all team members
• Generate referrals and sales from existing clients

Compliance and Regulatory Management:

• Remain current on all regulatory matters and industry accepted standards
• Develop and implement policies and procedures to ensure compliance with applicable securities regulations and industry best practice
• Regularly review and update policies to align with changing market, legal, and regulatory environments
• Assist in training and communicating policies and procedures to all Investment Fund Specialists
• Assist the Complaint Officer and Privacy Officer with handling client complaints and privacy issues

Reviews and Reporting:

• Approve new client accounts to ensure they meet regulatory standards as outlined in the policy manual
• Review and approve all Know Your Client updates according to policy manual standards
• Report any regulatory issues to Senior Management and the Chief Compliance Officer
• Conduct ongoing reviews and reporting, including daily trade reviews, monthly and quarterly branch and sub-branch reviews, and assist with other ad hoc reviews related to regulatory compliance

What ideal qualifications, skills & experience would help someone to be successful?

• University degree or college diploma preferred or equivalent experience
• 5 years experience in the financial services industry in client facing roles with at least 2 years as a registered salesperson, trading partner, director, officer or compliance officer
• Completion of minimum educational and experience requirements to be registered as a dealing representative and Branch Manager under Canadian Investment Regulatory Organization (CIRO)
• A sales and marketing mindset with the ability to identify client needs and position solutions that address those needs
• Strong interpersonal, verbal, and written communication skills
• Bilingual in French would be an asset

Experience our welcoming culture and reach your professional and personal potential!

Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.

Highlights of our benefits include:

• Flexible medical, dental and vision insurance
• Corporate Pension Plan
• Employee Stock Investment Program
• Purchase company funds with no sales charge
• Competitive vacation package that includes three annual personal days
• Company paid short-term and long-term Disability Insurance
• Education assistance

Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.

Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to [e-mail]. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.