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HollisWealth is a wholly owned subsidiary of Scotiabank and part of the Bank’s Global Wealth & Insurance division. As one of Canada’s premier financial advisory networks, we provide diversified investment and wealth management services to individuals, families, corporations and foundations.
HollisWealth supports innovative wealth management through a network of independent advisors who operate under the HollisWealth brand. This advisory network consists of approximately 900 advisors of multiple regulated entities in over 400 locations across Canada.
At HollisWealth, we are dedicated to creating a positive working environment for employees and fostering a true business partnership with advisors. We believe our biggest asset is our people and we are committed to supporting all members of our business family – whether you join our corporate team or choose to work with us as an independent advisor.
The Branch Manager is part of the Holliswealth team and will play a significant role in the strategic direction of the business and oversees all aspects of branch operations and compliance supervision in order to help the branch become more successful.
Ensure compliance with corporate policies and industry regulatory bodies by:
*Performing Tier 1 Supervision of advisors in assigned branches
*Coordinating and monitoring licensing, compliance, administration and new advisor registration
*Conducting semi-annual branch visits to review branch practices and offer solutions
*Prepare branch reports of findings and follow up for resolution of deficiencies
*Reviewing daily and monthly trade blotters
*Approving KYC updates and new accounts
*Staying informed regarding industry trends and issues
*Ensuring compliance policies and procedures are followed and put into practice
*Reviewing and following up on all head office corporate audits to ensure compliance and attention to deficiencies.
*Assisting with responses back to head office
*Ensuring appropriate internal controls are in place and functional
*Proactively identifying and implementing any process and procedural improvements
*Holding monthly meetings with advisors under supervision
*Training Advisors and Support Staff on new and existing policies and procedures
*Ensuring that appropriate corrective actions are implemented in a timely manner
*Ensuring proper maintenance of evidence of supervisory reviews, approvals and activities, such as inquiries made, replies received, actions taken, date of completion, etc.
*Liaising with the Compliance Department to ensure inquiries are resolved in a timely and satisfactory manner, and identifying patterns and on-going concerns to be addressed through training initiatives
Develop and maintain value-added, on-going relationships with Advisors by:
*Coaching Advisors in their business development activities and helping them find solutions to their issues and concerns
*Offering ideas on how advisors can work more effectively within the firm’s guidelines while increasing production
*Assisting advisors in understanding and implementing compliance rules in their business
*Working with the Regional Vice President (RVP) to strengthen relationships with Advisors, by assessing their needs and providing information to assist with their business
*Providing tools to increase sales revenues, assets and new account growth
*Working with Advisors when new policies are introduced to ensure continued focus on sales revenues, assets and new accounts growth
Manage the quality and efficiency of branch operations by:
*Resolving and responding to problems that arise on a daily basis in a timely manner
*Introducing and answering questions surrounding Company products and services
*Communicating new policies and procedures to the branch’s support staff and advisors to ensure all lines of business work together to help advisors grow
*Facilitating effective communication between Advisors, other departments and Head Office
*Conducting regular meetings with Advisors and branch support staff
*Contributing to the on-going development of policies and procedures
*Minimum 5 to 10 years’ experience in the financial services industry, with some branch and sales management experience and accomplishments
*Strong understanding of, and experience in, general management concepts (i.e. finance, human resources, marketing, sales, compliance, operations)
*Proficient in MS Office (outlook, word, access, excel)
EDUCATION AND ACCREDITATIONS:
*Related university degree
*Canadian Securities Course (CSC)
*Branch Managers Course
*Mutual Fund License (IFIC)
*Conduct and Practices (CPH)
HollisWealth is hiring a Corporate Branch Manager in GTA. Periodic travel to branches within and outside of the GTA will be required. The successful candidate will have the ability to be licensed with IIROC and MFDA and have superior relationship building and communication skills.
Scotiabank is an equal opportunity employer and welcomes applications from all interested parties. We thank you for your interest, however, only those candidates selected for an interview will be contacted. No agencies please.