Compliance Branch Manager

For our affiliate, Mandeville Operations Management Inc.


Essential Functions:

  • Review trades and supervise accounts
  • Review and approve new accounts and account updates
  • Perform random in-depth file reviews of all advisors under supervision
  • Communicate, document and follow-up trade reviews
  • Conduct monthly reviews of statements which produce commission in excess of $1000 and monthly review of PRO accounts
  • Review outgoing sales communications in conjunction with regional and head offices
  • Visit branches and sub-branches to review files and procedures
  • Assist Head Office Compliance in the investigation/resolution of client complaints
  • Provide assistance and act as a resource in matters of compliance for all advisors and assistants in the branch
  • Organize Compliance meetings, draft agenda and minutes
  • Provide guidance to new advisors as required (expected time frame 3 to 6 months)

Competencies

  • Analytical Thinking - Understanding a situation, issue, problem, etc. by breaking it into smaller pieces
  • Conceptual Thinking - The ability to identify patterns or connections between situations that are not obviously related
  • Concern for Order - Reflects an underlying drive to reduce uncertainty in the surrounding environment
  • Developing Others - Involves a genuine intent to foster the long-term learning or development of others
  • Expertise - The ability and motivation to expand and use technical knowledge or to distribute work-related knowledge to others
  • Information Seeking - Driven by an underlying curiosity and desire to know more about things, people, or issues
  • Relationship Building - The ability to build, maintain and manage ethical relationships, networks or contacts with people who are helpful in achieving work-related goals
  • Team Leadership - The intention to take a role as leader of a team or other group

Education:

  • Bachelors Degree/College Diploma required
  • Canadian Securities Course
    - Conducts & Practices Handbook
    - 90 day program
  • CSI Branch Manager’s Course
  • CSI Partners, Directors and Officers Course
  • CSI Professional Financial Planning Course (within 30 months of registration)
  • Effective Management Seminar (within 18 months of registration)

Professional Designation:

  • CFP, CIM or CFA desired

Work Experience:

  • 3-5 years industry experience, preferably in a compliance related role.

Reporting to:

  • Chief Compliance Officer





Qualified applicants should email resumes along with a cover letter to resumes@mandevilleinc.com. We thank all applicants in advance, however, only those individuals selected for an interview will be contacted.

We respect the dignity and independence of persons with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.

Reasonable accommodations will be made to enable individuals with disabilities to perform the essential functions.

If contacted for an interview, please inform us should any accommodation be required.

We thank all applicants in advance, however, only those individuals selected for an interview will be contacted.



Interested in Joining Us as an Advisor?

Please contact Frank Laferriere, Director, Senior Vice President and Chief Operating Officer, Mandeville Private Client Inc.:
AdvisorOpportunity@Mandevillepc.com
905-319-4900