Current Opportunities (Hero)

Current opportunities

Associate Branch Manager

Associate Branch Manager — Compliance, 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. When we return to the office in the coming months, you will have the ability to work remotely from home several days per week.

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 Supervisory Standard Operating Procedures and IPCIC’s Policies and Procedures. These duties may include but are not limited to: daily review of account opening documentation, KYC Updates, trades and other documentation are required
  • Monitor for compliance with IPCIC and MFDA standards of conduct
  • Follow up, monitor and track inquires/deficiencies and take 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 compliance role
  • Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CSI), Branch Manager (CSI) and/or IFSE equivalents is mandatory
  • Applicable proficiencies to supervise sale of Alternative Funds and ETFs or ability to attain within 3 months
  • Ability to be registered and approved as an MFDA Branch Manager immediately with no added terms and conditions
  • Experience working in an MFDA Dealer Compliance environment with a good working knowledge of Univeris and NBIN platform and/or other back-office software solutions preferred

  • 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

If you continue in the selection process, please notify us of any particular accommodation you might require. Any information you send us will be treated with complete confidence.