Corporate Branch Manager
Core
Ensuring regulatory compliance and supervising advisor teams to protect clients and maintain confidence in mutual fund services.
Role type
Senior compliance supervisor (mutual fund industry)
Builds
Compliance policies, account approvals, and regulatory guidance for advisor offices
Domain
Financial services / Mutual funds / Regulatory compliance
Required skills
Regulatory judgment, mutual fund industry knowledge, compliance policy application, account review, trade supervision, corrective action escalation, advisor education
Preferred skills
Canadian Investment Funds Course (CIFC) or Canadian Securities Course (CSC), Branch Managers Course, ETF/Exempt Market competencies
Technologies
None stated
Responsibilities
Maintaining and applying compliance policies across Advisor offices; Reviewing and approving new accounts; Supervising trades, advice, and registered activities; Escalating matters requiring review or corrective action; Providing education and guidance to advisors
Seniority
Mid-level, hands-on IC