Associate Branch Manager - MFDA - IPCC Corporate
Current Opportunities (Hero)
Associate Branch Manager - MFDA
Associate Branch Manager — MFDA
Associate Branch Manager - MFDA
With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?
Our Compliance MFDA team is currently growing! We’re seeking an Associate Branch Manager - MFDA – someone who is to perform daily supervisory functions over all Advisors as assigned, ensuring appropriate supervision is performed and evidence of such supervision is maintained, in accordance with MFDA Rules and IPCIC Policies and Procedures. The Associate BM - MFDA is also responsible for delivering registrant training, promoting a culture of compliance and building awareness to the importance of risk management.
WE WANT YOU TO JOIN OUR TEAM OF WINNERS!
At Investment Planning Counsel we’ve designed every aspect of the Associate Branch Manager - MFDA role with you in mind.
What is the role of the Associate Branch Manager - MFDA?
- Provide coverage for our Head Office Corporate Branch Managers and Tier 2 Compliance Officers
- Review the activities of an assigned group of Advisors; fulfilling requirements for Tier 1 and Tier 2 supervision as defined within MFDA Policy 2, IPCIC’s Standard Operating Procedures and IPCIC Policies and Procedures. These duties may include but are not limited to: review of daily paperwork, trade review
- Monitor for compliance with IPCIC and MFDA standards of conduct
- Follow up, monitor and track inquires/deficiencies and taking corrective action where required
- Provide initial and ongoing review and approval of leverage proposals and transactions in leveraged accounts
- Monitoring for appropriate controls and other areas of potential risk and/or fraud
- Provide for training or guidance to Advisors where required
- Assist and support MFDA Advisors to ensure that they fully understand the requirements set out in IPCIC’s National Policies and Procedures Manual, the rules, policies and by-laws of the MFDA, and all Compliance Bulletins
- Participate in the development and delivery of educational materials and programs to IPCIC Advisors
- Respond and/or troubleshoot Advisor inquiries or problems
- Participate in various compliance projects, assignments and initiatives as requested from time to time
- Provide regular and ad-hoc reporting to Compliance Management on the status of said supervision
What are the preferred qualifications for an Associate Branch Manager - MFDA?
- Minimum 2 years of experience within the Financial Industry, within an MFDA or IIROC dealership, preferably in a Tier 2 role
- Completion and current Canadian Securities Course (CSC), Conduct and Practices Handbook (CSI), Branch Manager (CSI) and/or IFSE equivalents is mandatory
- Experience working on the MFDA Dealer Compliance environment with a good working knowledge of Univeris and NBCN platform and/or other back office software solutions preferred
- Ability to be licensed and approved as MFDA Branch Manager
- Working knowledge of Microsoft Suite of products (Word, Excel, Power Point, Outlook)
What is #lifeatIPC?
- Awesome support in providing industry-leading training to help you succeed in your role
- Awesome community involvement opportunities through IPC Cares
- Awesome perks: benefits that fit your needs, pension, share purchase plan, corporate discount plans, social events, summer hours, and fun
- Awesome recognition: kudos, all-star program, rising star, and the circle of excellence
- Awesome Leadership teams that know your name