Compliance

at  Investment Planning Counsel

CORPORATE BRANCH MANAGER, IPCIC

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 IPCIC Compliance team is currently growing! We are currently seeking a Corporate Branch Manager, IPCIC, for a 14-month contract position. This individual will be responsible for daily supervisory functions over Advisors assigned to their respective region, ensuring appropriate supervision is performed and evidence of such supervision is maintained, in accordance with IPCIC Policies and Procedures. The Corporate Branch Manager, IPCIC, will also be responsible for delivering registrant training, promoting a culture of compliance and building awareness of the importance of risk management. This is a hybrid position where the individual will be required to come into the office for two days a week.

WHAT ARE THE PREFERRED QUALIFICATIONS FOR A CORPORATE BRANCH MANAGER, IPCIC?

• Minimum 5 years of experience in the Financial Industry with a Mutual Fund Dealer or Investment Dealer, including prior Branch Manager experience
• Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Branch Managers Course (CSI) and/or IFSE equivalents is mandatory
• Applicable proficiencies to supervise sale of Alternative Funds and ETFs or ability to obtain within 3 months
• Ability to be registered and approved as a Mutual Fund Dealer Corporate Branch Manager immediately with no added terms and conditions on registration
• Experience working in a Mutual Fund Dealer Compliance environment with a good working knowledge of Univeris and/or other back-office software solutions preferred
• Working knowledge of Microsoft Suite of products (Word, Excel, Power Point, Outlook)
• Have valid driver’s license and access to reliable transportation

QUELLES SONT LES QUALIFICATIONS PROFESSIONNELLES SOUHAITÉES POUR UN DIRECTEUR OU UNE DIRECTRICE DE SUCCURSALE DE L’ENTREPRISE, IPCIC?

• Au moins cinq ans d’expérience dans le secteur financier auprès d’une entreprise de courtage en épargne collective ou en valeurs mobilières, y compris une expérience antérieure en tant que directeur ou directrice de succursale
• Réussite du Cours sur le commerce des valeurs mobilières au Canada (CCVM), du Cours relatif au Manuel sur les normes de conduite, du cours à l’intention des directeurs et directrices de succursale (CSI) et/ou de cours équivalents de l’IFSE (obligatoire)
• Compétences nécessaires pour superviser la vente de fonds alternatifs et de FNB, ou possibilité d’obtenir ces compétences dans un délai de trois mois
• Capacité de s’inscrire et d’obtenir l’approbation requise pour agir en tant que directeur ou directrice de succursale d’une entreprise de courtage en épargne collective immédiatement, sans aucune condition d’inscription supplémentaire
• Expérience de travail dans un cadre de conformité auprès d’une entreprise de courtage en épargne collective, et bonne connaissance pratique d’Univeris et/ou d’autres solutions logicielles de soutien (souhaitable)
• Connaissance pratique de la suite Microsoft (Word, Excel, PowerPoint, Outlook)
• Permis de conduire valide et accès à un moyen de transport fiable

Supervise the activities of an assigned group of Advisors; fulfilling all requirements for Tier 1 supervision as defined by CIRO Rules and IPCIC’s Policies and Procedures. These duties include, but are not limited to:

• Daily review and approval of NAAFs, KYC updates and trading activity
• Monitoring for compliance with CIRO and IPCIC requirements
• Following up, monitoring and tracking inquires and deficiencies and taking corrective action
• Review and approval of leverage proposals and transactions in leveraged accounts
• Perform branch visits of assigned Advisors and reporting on the status of compliance
• Monitor for appropriate controls and other areas of potential risk and/or fraud
• Provide training or guidance to Advisors that you will be supervising
• Assist and support IPCIC Advisors to ensure that they fully understand the requirements set out in IPCIC’s National Policies and Procedures Manual and Compliance Bulletins
• Participate in the development and delivery of educational materials and programs to IPCIC Advisors
• Respond to and troubleshoot Advisor inquiries and problems
• Participate in various compliance projects, assignments and initiatives as requested from time to time
• Provide regular and ad-hoc reporting to Management on the status of supervision