Corporate Branch Manager (Vancouver)

Employer: Investia Financial Services Inc.
Office: +88 Broadway West
Location: Vancouver, British Columbia
Job category: Retail Banking Regional and Branch Management - Generalist/Multidiscipline
Job ID: JR10023544
Job type: Permanent Job
Apply before: 2025-06-30

Description
Do you have experience working in the mutual fund industry? Do you enjoy Compliance and working with advisors? This could be the perfect opportunity for you!


What YOU will be doing?


Supervision of trading activities for a region of mutual fund advisors as follows:

Supervision of Representative activities;
Ensuring compliance policies and procedures are maintained at each office;
Providing training and education to our salesforce;

Acting as a resource for the salesforce;

Reviewing and approving new account openings;

Ensuring compliance with suitability requirements;

Providing supervision of trades and advice given to clients;

Completing KYC update review and approval;

Reviewing and following up on previous day’s trades;

Following up on questionable trades and escalating as necessary;

Monitoring trends, communicating findings and implementing corrective actions;

Conducting Advisor visits in the Lower Mainland, Vancouver Island and BC Interior on as needed basis

Providing support to internal colleagues as needed;

Providing coverage and support to other Corporate Branch Managers within the Account Supervision teams;

Providing support to our order affirmation team, other compliance teams, and other business units as needed;

Involvement in compliance projects


Qualifications:

University degree or equivalent post-secondary education;

Excellent knowledge of the mutual fund industry;

Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;

Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;

Completion of Relevant and Current Exchanged Traded Funds and Liquid Alternatives Courses

Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;

Ability to understand, analyze and interpret Regulatory legislation.

Strong proficiency in English, both written and oral. Ability to communicate in Mandarin is an asset


Qualified candidates will be contacted. Thank you for your interest in iA Financial Group!


Invest in your talent by joining our team
See why so many people choose iA!



Company Overview
iA Financial Group is the strength of a company with a human side, with its over 10,000 employees. Together, we have earned the trust of our more than five million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.

With over $235 billion in assets, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 130 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

At iA, we’re invested in you.

Our commitment to Diversity and Inclusion
At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, ****** orientation, age, marital status, family situation, or physical or mental disability.

Please note that if you need help or assistance to make the recruitment process more accessible for you, write to us. Someone from our team will be happy to assist you.