Job Description
Job Overview
Branch Manager – responsible for ensuring compliance within the financial services industry, supporting advisors, and optimizing branch operations to deliver exceptional service while building strong, value‑added relationships that help advisors succeed within firm guidelines. The role is based in Saskatoon.
Key Responsibilities
- Ensure compliance with corporate policies and regulatory requirements, including supervising Tier1 registrants, approving KYC updates and new accounts, and applying compliance policies.
- Conduct annual branch site visits, prepare reports, and follow up on deficiencies.
- Review activity blotters (daily, monthly, quarterly), respond to audits, and maintain evidence of supervisory activities.
- Implement timely corrective actions and ensure internal controls are functional.
- Train advisors and support staff on policies and procedures, identify patterns for targeted training, and recomm...