Reporting to the Senior Manager, the Assistant Branch Manager is responsible for supporting the Branch Managers and providing operational and administrative support and assisting the Branch Managers with compliance supervision.
Specifically, you will :
1. Provide administrative support by :
Preparing Branch Review documentation and presentation materials, as requested by Branch Managers.
Preparing meeting agendas and meeting materials and documents.
Preparing pre-audit questionnaires and reports for semi-annual visits performed by Branch Managers.
Preparing branch site visit reports of findings and follow up for resolution of deficiencies.
Preparing other branch reports as required.
Reviewing daily blotters.
Approving KYC updates and new accounts.
Staying informed regarding industry trends and issues.
Ensuring compliance policies and procedures are followed and put into practice.
Reviewing and following up on all head office corporate audits to ensure compliance and attention to deficiencies and providing responses back to head office.
2. Provide operational support by :
Assisting with branch review activities.
Participating in special projects
Respond to advisors and their staff regarding their questions on administrative issues
Find solutions to pending items on behalf of advisors by dealing with different head office departments
Follow up with departments when responses have not been received
3. Contribute to the effective functioning of the branch team by :
Building effective working relationships across the team and with various business line and corporate function contacts.
Maintaining a high level of customer service.
Facilitating a culture of open and honest communication.
Actively participating and contributing to touch bases and team meetings.
Encouraging the generation of new ideas and approaches.
Actively sharing knowledge and experience to enhance the development of all team members.
Developing and executing a meaningful employee development plan.
University degree or equivalent post-secondary education.
2+ years of experience in the financial services industry, with some branch and sales management experience.
Completion of the Canadian Securities Course (CSC).
Completion of the Conduct and Practices Handbook (CPH).
Completion of the Branch Managers Course and Effective Management Seminar will be required
Intermediate / Advanced Skills in Microsoft Office (Excel, PowerPoint and Word).
Strong organizational and management skills.
Excellent written and verbal communication skills.
Ability to take initiative and work independently.
Ability to meet deadlines.