Perform approval of new accounts and material changes to existing accounts
Perform Tier 1 daily and monthly reviews of advisor trading activity
Deal with compliance issues as identified, through to resolution and/or appropriate escalation
Key day-to-day contact for advisors regarding compliance related matters
Follow up with advisors on missing documentation
Act as back-up during absence of other Branch Compliance Managers and compliance staff
Support advisors with ongoing compliance education and training
Assist with compliance projects and initiatives as needed
Conduct branch visits at partner locations as required

5+ years of experience in the financial services industry
Ability to be registered as a Branch Manager with CIRO (formerly IIROC and MFDA)
Experience as a Branch Manager, Compliance Officer or Advisor in an IIROC/MFDA firm
Strong knowledge of industry rules and regulations
Strong verbal and written communication skills
Strong mediation and influencing skills
Strong organizational and time management skills
Strong analytical skills with an attention to detail
Proficient in Microsoft Outlook, Word and Excel
Experience with Dataphile an asset
High level of product knowledge
Fluent communication skills in English are required and bilingual skills in French are an asset

Competitive compensation package that rewards and recognizes individual contributions
Excellent health, dental and insurance benefits to meet the diverse needs of our employees
Generous vacation time, fitness benefit, parental leave top-up options
Matching contributions to our retirement program
Commitment to the continuous improvement of our staff through learning & development and an education assistance program
Regular social events to foster teamwork

Branch Compliance Manager

Key skills