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Branch Manager


  • Responsible for approving new accounts and conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm’s policies and procedures.
  • Responsible for identifying non-compliant conduct, breaches, and violations and effecting corrective action.
  • Responsible for ensuring that the branch provides excellent customer service.
  • Provide training, guidance, and support to advisors and branch staff.
  • Oversee the day-to-day operations of the branch.

Key skills or attributes

  • Pro-active
  • Problem solver
  • Strong leadership
  • Excellent communicator

Salary range:
$70,000 – $100,000

Recommended courses:
Branch Managers’ Examination Course (BM)
Ethics and Professional Conduct Course (EPC)
Canadian Investment Funds Course (CIFC)
Exempt Market Proficiency Course (EMP)
Exchange-Traded Funds Course