iA Groupe financier / iA Financial Group
Location
Québec, QC | Canada
Job description
Reporting to the Coordinator of Corporate Branch Managers, the Corporate Branch Manager will be responsible for providing coverage to several advisors and/or sub-branch locations. The key responsibilities involve compliance oversight to our network of mutual fund sales advisors. Please note, this role will be an “in-house” role, working out of the Quebec location, however minimal travel may be required.
Responsibilities:
Ensuring policies and procedures are maintained at each office within their region;
Ensuring compliance with suitability requirements;
Reviewing and approving new account openings;
Providing supervision of trades and advice given to clients;
Supervising Branch Manager and/or Representative activities;
Reviewing and following up on previous day’s trades;
Following up on questionable trades and escalating as necessary;
Completing KYC update review and approval;
Participating in compliance conferences;
Providing training and education to the field;
Monitor trends, communicating findings and implementing corrective actions;
Acting as a resource for the field;
Acting as backup coverage, as required;
Other projects as assigned.
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 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.
Excellent problem solving, organizational and communication skills.
Ability to work both independently and as part of a team.
iA Financial Group is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.
With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.
At iA, we’re invested in you.
At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.
Please note that if you need help or assistance to make the recruitment process more accessible for you, please contact us here. Someone from our team will be happy to assist you.
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