Description
- 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