Centralized Branch Compliance Manager

  • 5-7 Year
  • Vancouver
  •   Posted On: November 17, 2017
  •   Skills: 

Job Overview

Roles & Responsibilities

Centralized Branch Compliance Manager

With exceptional listening and compassion skills, and the ability to translate Vancity’s Good Money™ brand promise to our members, you will have 5 to 7 years specialized/professional experience as a IIROC supervisor.

The Centralized Branch Compliance Manager reports directly into the Manager Centralized Compliance and Administration.

Working as an IIROC Branch Compliance Manager is a dynamic and rewarding role. This is a fast paced environment that allows you to engage with advisors and work collaboratively with a supportive team. This role is an opportunity for you to grow both personally and professionally as you work through the challenges and projects as they are presented.

Key areas of accountability for this role are:

Monitor the sales conduct of registered IIROC and/or MFDA staff and regulatory and compliance systems in order to minimize risk.

Respond to and resolve complaints consistent with the regulatory requirements and provide advice to enable complaint resolution where appropriate.

Monitor operations for privacy and fraud issues, make recommendations and implement solutions that optimize compliance and risk management.

Perform audits and compliance reviews of licensed mutual funds staff consistent with regulatory requirements.

Monitor IIROC and MFDA internal policies and procedures and refine according to business needs and/or regulatory changes.

Perform review and approval for IIROC and MFDA branch level sales communications.

Deliver training, advice and technical expertise on regulatory requirements to registered staff and other internal parties.

Here at Vancity, we have a consistent set of expectations for all employees:

Work effectively and with full commitment on the tasks assigned by your manager.

Give your manager your best advice.

Stay within policy.

Manage your ongoing career development at Vancity.

Qualifications
Competencies:

  • Advanced business acumen in the context of the financial industry.
  • Solid communication and interpersonal skills to create clear understanding of expectations; address escalated challenges and issues in reporting areas; and to represent the functional area across the organization.
  • Solid knowledge of Vancity strategies, functions and programs.
  • Solid knowledge of the relevant Vancity policies and procedures.
  • Solid planning and coordination skills to develop operating plans, processes, methods and standards for a unit and to coordinate delivery of programs and services.
  • Solid problem solving and decision making skills to diagnose challenges and issues; develop innovative business solutions; and to assess risks and opportunities that may affect the unit and or designated unit.
  • Solid knowledge of to provide technical guidance to junior staff.

Education:

The competencies for this position would typically be acquired through a specialized post-secondary diploma or undergraduate degree in Business Administration, working towards or completion of the CFP designation, completion of either the Canadian Securities Course (CSC), Canadian Investment Funds Course (IFIC) or Investment Funds in Canada Course (ICB), successful completion of either Branch Manager’s Course (CSI), Branch Manager’s Examination (IFIC) or Branch Compliance Officer’s Course (ICB(position specific)

Experience:

5 to 7 years specialized/professional experience as an IIROC Branch Compliance Manager or as a Investment Advisor.

Mutual funds are offered through Credential Asset Management Inc and mutual funds and other securities are offerd through Credential Securities Inc.

About Vancouver City Savings Credit Union

Vancouver City Savings Credit Union, commonly referred to as Vancity, is a member-owned financial co-operative headquartered in Vancouver, British Columbia

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