JOB OBJECTIVES AND SUMMARY :
Work as part of a team focused on developing strong relationships with branch managers and representatives in the area of regulatory compliance and risk management to ensure that IPCIC and its mutual fund salespersons and branch managers comply with firm policies and procedures as well as rules, regulation and policies of the Mutual Fund Dealers Association (MFDA) and applicable securities regulation.
The responsibility of the Corporate Branch Manager MFDA is to perform daily supervisory functions over all Advisors as assigned, ensuring appropriate supervision is performed and evidence of such supervision is maintained, in accordance with MFDA Rules and IPCIC Policies and Procedures.
The Corporate BM - MFDA is also responsible for delivering registrant training, promoting a culture of compliance and building awareness to the importance of risk management.
JOB RESPONSIBILITIES & ACTIVITIES :
RESPONSIBILITY : Advisor and Branch Supervision
These duties include but are not limited to : Daily NAAF, KYC and Trade Approval and Marketing Approvals as received
RESPONSIBILITY : Oversight visits
RESPONSIBILITY : Advisor Education, Training and Support
laws of the MFDA, and all Compliance Bulletins
SKILLS AND KNOWLEDGE REQUIREMENTS :
Professional Experience - Minimum 5 years experience within the Financial Industry, within an MFDA or IIROC dealership
Education Requirements Undergraduate degree in Business or related discipline; completion and current Canadian Securities Course (CSC), Conduct and Practices Handbook (CSI), Branch Manager (CSI) and / or IFSE equivalents is mandatory.
Industry Experience Experience working on the MFDA Dealer Compliance environment with a good working knowledge of Univeris and NBCN platform and / or other back office software solutions preferred
Communication - Must be able to communicate clearly and concisely the goals and objectives of the organization to all stakeholders.
Must be able to effectively communicate to various audiences and all levels of staff. Positive and collaborative approach to team work and effective listener.
Possess excellent written and oral communication skills. Ability to quickly review / approve various Compliance / Trade documents
Organizational skills and time management Able to multi-task, prioritize and meet tight deadlines. Should be comfortable working in a fast paced environment and detail oriented.
Various key responsibilities requires strong time management skills; strong ability to manage various documents is required
Ability to multi-task Ability to oversee / manage multiple projects effectively and a capacity for dealing with tight deadlines
Computer software Must be extremely proficient at using the Microsoft Office suite of products, mainly MS Word and Excel
Travel - Must be able to travel across Canada and have a valid driver’s license and excellent driving record. Must have an access to reliable vehicle.
Work Hours Standard business hours; some additional work outside of these hours may be required from time to time.