- Acting as an alternate to the Branch Manager in the Branch Manager’s absence.
- 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.
- Oversee the day-to-day operations of the branch in the Branch Manager’s absence.
Key skills or attributes
- Excellent judgment
- Problem solver
- Customer service focused
$53,000 – $70,000
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