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    Corporate Branch Manager - Markham, Canada - Worldsource Wealth Management

    Worldsource Wealth Management
    Worldsource Wealth Management Markham, Canada

    4 days ago

    Default job background
    Accounting / Finance
    Description

    JOB STATEMENT:

    The Corporate Branch Manager is responsible for providing supervisory functions to various producing field branch managers and advisors. The successful candidate must be highly detailed, organized and accurate and have the ability to work under pressure and meet deadlines. In addition, the candidate must work without supervision, exercise initiative and use independent judgment in the performance of assigned tasks.

    ESSENTIAL FUNCTIONS:

    • Conducting Tier 1 supervision activities such as review of daily trading, account opening and KYC updates;
    • Supporting Assistants, Advisors and Producing Branch Managers in resolving compliance issues;
    • Handling all inquiries from the assigned branches;
    • Performing on-site visits of assigned branches;
    • Training of new Branch Managers, Advisors and Assistants, as required;
    • Managing Limited Authorization Forms; and
    • Attending all head office meetings as required.

    QUALIFICATIONS:

    • Post-secondary education
    • Minimum 5 years compliance experience working for a CIRO firm, investment dealer, or a fund company
    • Successful completion of the Canadian Securities Course (CSC) and Investment Dealer Supervisor Course (IDSC) or equivalent. completion of the Conduct and Practices Handbook (CPH) preferred
    • Ability to be immediately registered with the Regulators
    • In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO and other regulatory rules/obligations
    • Strong conflict resolution skills
    • Excellent working knowledge of Microsoft Word and Excel
    • Organized, accurate and detailed
    • Excellent oral and written communication skills;
    • Ability to work independently and use independent judgment

    COMPENSATION:

    Commensurate with experience

    If you are interested in applying for this position, please forward a cover letter and resume in confidence to

    Worldsource is committed to accessibility in employment and to ensuring equal access to employment opportunities for candidates, including persons with disabilities. In compliance with AODA, Worldsource will endeavour to provide reasonable accommodation to persons with disabilities in the recruitment process upon request. If you are selected for an interview and you require accommodation due to disability during the recruitment process, please notify the hiring manager upon scheduling your interview.

    We thank all applicants for their interest but only those selected for an interview will be contacted.

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