Branch Manager

Winnipeg, MB

About the Firm

Our client is one of Canada’s leading independent investment dealers, providing a comprehensive range of investment products and wealth management services to a diverse clientele. The firm is recognized for its collaborative culture, commitment to excellence, and focus on supporting both clients and employees in achieving long-term success.

Role Overview

The Branch Manager is accountable for overseeing the activities of Financial Advisors and their support teams while delivering ongoing practice management and operational guidance at the Winnipeg office. This leadership role involves driving branch-level initiatives, championing best practices, facilitating clear communication, resolving issues, and upholding a consistently high standard of service across all daily operations.

Core Responsibilities

• Provide continuous coaching and professional development to Financial Advisors to elevate their practice and client outcomes
• Identify practice management opportunities for Advisors and establish clear performance expectations for their support staff, enabling seamless day-to-day operations
• Actively recruit talented Financial Advisors to join the firm and represent the organization within the community
• Oversee daily trading activity for Investment Advisors at the branch, ensuring proper supervision and compliance
• Ensure all Advisors and their Assistants operate in full compliance with applicable rules, laws, and regulatory requirements
• Review and approve all New Account documentation prior to execution
• Examine Non-Brokered Private Placement documentation as required
• Lead the achievement of business objectives including branch budget preparation, monthly financial report analysis, and variance resolution
• Implement firm-wide policies and procedures at the branch level and collaborate regularly with senior leadership across the organization
• Manage branch administrative personnel and handle employee relations matters as they arise
• Establish and maintain the operational records and internal controls necessary for efficient branch management
• Other duties as assigned.

Knowledge Requirements

• Strong understanding of fundamental investment concepts, practices, and procedures within the securities industry
• Knowledge of regulatory rules, requirements, and compliance frameworks
• Demonstrated expertise in management principles and team supervision

Key Skills

• Ability to effectively coach and motivate individuals toward higher levels of performance and contribution
• Experience guiding Advisors on book building, marketing strategies, team development, HR matters, and issue resolution
• Proficiency in Microsoft Office applications with a readiness to learn new tools and platforms
• Strong capabilities in client service delivery, time management, and sound decision-making
• Excellent organizational skills with the ability to manage competing priorities and multitask effectively
• Proven problem-solving abilities and a solution-oriented mindset

Core Competencies

• Take initiative and assume numerous roles and responsibilities; 
• Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail; 
• Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills; 
• Work independently as well as collaboratively within a team environment; 
• Demonstrate a professional manner to establish and maintain effective working relationships at all levels of the organization; 
• Build and execute against a vision and successfully enlisting enthusiastic buy in from team members; 
• Embrace changes in areas of media (ie. social, broadcast, etc.), regulatory requirements, etc.; 
• Demonstrate excellent work commitment and willingness to accept additional responsibilities; 
• Manage high volumes of work while maintaining accuracy; 
• Assist others with flexibility and willingness as required; 
• Exercise tact and discretion in the handling of confidential information; and 
• Communicate proficiently in English and French.

Education & Experience

• Post-secondary education required
• A minimum of 10 years of experience within the financial services industry
• At least 5 years of industry experience as an Investment Advisor or in a comparable leadership capacity at a CIRO-registered dealer
• A proven track record of building quality client relationships with a low compliance risk profile
• Prior supervisory or management experience is considered a strong asset
• Previous Branch Manager experience is a significant advantage

Licensing & Certifications

• Canadian Securities Course (CSC)
• Conduct and Practices Handbook (CPH)
• Branch Managers Course
• Effective Management Seminar
• Options Supervisors Course
• Canadian Commodity Supervisors Course

Compensation & Benefits

The firm provides a comprehensive and competitive compensation and benefits package. Benefits include extended health coverage, an RRSP matching program, an employee stock purchase plan, generous paid time off, volunteer days, discretionary bonuses, tuition reimbursement, and more. Flexible work arrangements are available upon eligibility, and internal advancement and community involvement are actively encouraged.

Senior Branch Administrator

Montreal, QC

About the Firm

Our client is a well-established and highly regarded independent investment dealer in Canada, providing a comprehensive suite of investment products and advisory services tailored to individuals seeking personalized wealth management solutions. The organization is built on a culture of collaboration, accountability, and ongoing improvement.

Role Overview

This is a senior-level administrative leadership position within a branch office setting. The Senior Branch Administrator is instrumental in guiding and energizing the team toward delivering an outstanding client experience. Reporting to the Branch Manager, you will oversee day-to-day operational and administrative functions while ensuring consistently high service standards across all areas of the branch.

You are a dependable, self-driven professional with strong organizational capabilities who can manage competing deadlines both independently and collaboratively. A proven track record in time management and a genuine commitment to service excellence are essential.

Through effective service leadership, this role is central to cultivating a culture of excellence—partnering across the organization, mentoring administrative staff, and championing high-quality practices. The position also plays a vital part in advancing strategic priorities such as talent acquisition, staff development, and long-term business growth.

Acting as a representative of the firm in the broader community, you will spearhead efforts to strengthen existing client relationships and attract new ones.

Core Responsibilities

• Serve as the primary point of contact for Financial Advisors, Sales Assistants, and support personnel regarding operational and administrative matters
• Support the Branch Manager in supervising advisory and support staff, addressing workplace concerns, and coordinating with back-office teams to ensure seamless client service
• Stay current on industry developments, AML regulations, and internal policies; act as the branch’s liaison with corporate department heads and subject matter experts
• Deliver continuous training to Sales Assistants and Financial Advisors on evolving regulations affecting retail operations
• Manage account openings, updates, and KYC documentation to ensure full compliance with regulatory standards
• Provide back-up support to Financial Advisors and Assistants with trade entries and other transactional tasks as needed
• Coordinate and process cheques and electronic fund transfers on an as-needed basis
• Plan and execute branch and client-facing events, managing the full lifecycle from approvals through to post-event follow-up
• Contribute to the development and execution of marketing initiatives including email campaigns, seminars, and social media content
• Maintain the Branch Manager’s calendar in Outlook, coordinating and confirming meetings and appointments
• Support the completion of both internal and external compliance and regulatory audits
• Build and maintain operational records and controls that enable the Branch Manager to run the branch efficiently
• Assist in the preparation of branch budgets, analysis of monthly financial statements, and resolution of any variances
• Prepare and format correspondence, reports, presentations, and other materials using Microsoft Office applications
• Handle incoming and outgoing calls on the main office line, fielding general inquiries and client service requests
• Ensure timely completion of required continuing education and professional development courses
• Carry out general office duties and escalate issues to the Branch Manager when appropriate

Keys to Success in This Role

• Embody the firm’s vision and values, fostering a positive and engaged branch culture
• Model exceptional client service and demonstrate how to build deeper, more meaningful client relationships
• Provide hands-on support and training to ensure advisory and CRM tools are used effectively across the team
• Coach and develop employees by understanding their strengths and providing regular, constructive feedback
• Create growth pathways for team members through job shadowing, stretch assignments, and targeted training opportunities
• Build strong peer relationships to facilitate idea-sharing, informal coaching, and mentorship
• Celebrate team wins and individual achievements to reinforce high performance and organizational commitment
• Clearly communicate how individual performance expectations connect to broader business objectives
• Actively recruit talented individuals from the community to strengthen the branch team
• Collaborate closely with Human Resources on all personnel matters and employee relations
• Safeguard the firm, its clients, and its stakeholders by ensuring adherence to all regulatory requirements and internal compliance standards
• Oversee the full scope of branch operations, driving a culture of operational excellence and strong governance outcomes

Ideal Candidate Profile

• An engaging and motivational leader with a track record of coaching diverse teams, navigating change, and contributing to business profitability
• Skilled at cultivating and sustaining strong relationships across all levels—from frontline staff to senior executives and community stakeholders
• A strategic and analytical thinker who can assess complex challenges, craft creative solutions, and deliver well-founded recommendations
• Thrives in fast-moving, high-complexity environments where priorities shift frequently and ambiguity is common
• A genuine team player who actively supports others’ success, encourages open dialogue, and welcomes constructive debate
• Passionate about continuous learning and dedicated to elevating the capabilities of the broader service team through ongoing development
• Solid understanding of core HR practices including talent acquisition, performance management, and employee growth

Required Qualifications

• Minimum 5 years of experience within the investment brokerage or broader financial services sector
• Diploma or degree, or an equivalent combination of experience, education, and/or training
• Completion of Investment Representative or Registered Representative licensing requirements
• Prior experience in a supervisory or people management capacity is essential
• Bilingual proficiency (French and English) with strong written and verbal communication abilities
• Polished interpersonal and relationship management skills across multiple channels—in-person, phone, email, and video
• Demonstrated ability to handle sensitive and confidential information with professionalism and discretion
• Advanced proficiency in Microsoft Office (Word, Excel, Outlook, PowerPoint); familiarity with CRM platforms is a plus
• Strong organizational skills with the ability to juggle numerous detailed tasks in a dynamic, deadline-driven setting
• Sound judgment, proactive mindset, and strong problem-solving capabilities
• Equally effective working autonomously or as part of a collaborative team
• Meticulous attention to detail paired with a warm, professional demeanor

Senior Financial Planner

Ottawa, ON

About the Firm

Our client is a leading independent investment dealer in Canada, delivering a full range of investment products and personalized advisory services to individuals seeking tailored wealth management solutions. The firm operates within a team-oriented culture that values collaboration, innovation, and a commitment to continuous growth.

Role Overview

The Senior Financial Planner will be embedded within a collaborative, client-centric team dedicated to delivering an elevated standard of service. This is an excellent opportunity for a planning professional seeking a long-term career path where they can apply their expertise to benefit a growing and diverse client base.

Core Responsibilities

• Develop and deliver both straightforward projections and in-depth comprehensive financial plans for clients
• Take on a client-facing role, presenting financial plans, providing progress updates, and walking clients through their planning journey
• Provide tax-related guidance and recommendations, including analysis of CPP/OAS entitlements, RIF conversion strategies, applicable tax brackets, and corporate structuring considerations
• Support cash flow modelling, projection analysis, and annual tax package preparation
• Coordinate with internal specialist teams (tax, insurance, trust) and document any estate planning recommendations or action items that arise
• Contribute to insurance, financial, and estate planning initiatives where experience permits; otherwise, this represents a key area for professional development

Required Skills & Competencies

• Knowledge and experience in financial planning principles and core concepts
• Strong client service orientation with polished relationship management skills across all channels—in-person, phone, email, and video
• Proficiency in Microsoft Office applications, with a willingness to quickly adopt new tools and platforms
• Previous experience with financial planning software (e.g., Conquest or similar) is considered an advantage
• Excellent organizational abilities with a proven capacity to manage multiple priorities and deadlines in a high-volume setting
• Sound judgment and strong problem-solving skills, with the ability to think critically under pressure
• Demonstrated ability to work both independently and as a collaborative member of a team
• Professional discretion and tact when handling sensitive or confidential client information
• Flexible and willing to support colleagues and take on additional tasks as the business requires
• Meticulous attention to detail while maintaining a consistently high level of service
• Proficiency in French is considered an asset

Education & Experience

• Hands-on experience with advanced planning scenarios, such as the integration of closely held corporations, trust structures, and/or cross-border planning
• An accounting designation or equivalent relevant education and experience is considered an asset

Licensing & Certifications

• Certified Financial Planner (CFP®) designation is mandatory
• Chartered Retirement Planning Counselor (CRPC) designation is required, or the candidate must be willing to obtain it within 12 months of joining

Travel

Some travel may be required on an occasional basis.

Senior Trust Advisor

Toronto, ON

 About the role

Our client is one of Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Working as a member of the Estate & Trust Solutions Team the Senior Trust Advisor will report to the regional AVP, Estate & Trust Solutions. The successful candidate will be engaged in business development strategies to drive partnership internally with financial advisors as well as externally with a COI network. You are a goal-oriented team player capable of managing a book of estate and trust accounts. You will ensure the ongoing delivery of premium service to partners and their clients while simultaneously building and maintaining strong relationships with internal and external COI partners.

What will your role be responsible for?

• Work collaboratively with all members of the Senior Trust team to deliver best in class service and support to our clients, internal partners, and external stakeholders;
• Support the delivery of Senior Trust estate planning, trust, and estate advice including collaborating with clients’ lawyers and other external advisors to ensure the timely execution of wills, trust deeds and agency agreements;
• Partner with advisors to meet with their High Net Worth clients and prospects, demonstrating the value of our holistic wealth offering and identifying opportunities to assist clients with their estate planning needs through the use of our trust solutions;
• Develop and strengthen relationships and build new relationships with clients, partners, COIs, with the goal of enhancing networking opportunities and new business engagement for Senior Trust;
• Conduct skill builds, presentations, webinars to enhance the knowledge and understanding of the estate and trust offering to our internal and external partners for the local market;
• Support the advancement of the market business plan and work in close collaboration with the regional AVP, Estate & Trust Solutions to meet the regional business plan goals;
• Maintain up-to-date knowledge and understanding of estate and trust laws, common law and other relevant legislation, case law, and internal policies and procedures;
• Act in accordance with Senior Trust policy & procedure and ensures all new business is reviewed and approved according to policy;
• Always act in the best interest of the clients to provide the appropriate level of service and guidance to prospective clients and their families on all aspects of estate planning;
• Responsible for the delivery and oversight of timely, accurate, and professional administration of estate, trust, and power of attorney accounts (both fiduciary and agency);
• Collaborate with Compliance, Operations, Legal and other related lines of business to resolve system, administrative, risk management and legal issues related to account administration; and
• Other duties and projects assigned.

Skills, Knowledge, & Requirements

• Minimum 3 years experience in estate, trust, or financial planning and/or university degree in related field
• Preference given to experience managing estate, trust & power of attorney accounts;
• Experience working with High Net Worth clients and their wealth advisors;
• Technical proficiency related to wealth planning strategies such as insurance, philanthropy, taxation;
• Excellent written and verbal communication skills;
• Exceptional critical thinking and analytical skills so as to identify and resolve diverse, complex, and ambiguous issues in a timely and practical manner;
• Strong interpersonal skills and ability to work well under pressure;
• General knowledge of other province’s estates, trusts and powers of attorney for property laws;
• Available for intra-provincial travel on occasion; and
• STEP or MTI designation would be an asset.

What can you expect from our client?

Our client offers flexible workstyles, a competitive compensation, and benefits package. Our clients’ benefits range from health benefits, RRSP matching program, employee stock purchase plan, paid time off, volunteer days, discretionary bonuses, tuition reimbursement, and many more!  They also support internal promotion and community involvement.

Position: Senior Compliance Officer

About the Role

Our client is looking for a Senior Compliance Officer to join their collaborative team and help them maintain the highest standards of regulatory compliance. Reporting directly to the Chief Compliance Officer (CCO), you’ll play a key role in overseeing daily compliance operations, monitoring regulatory changes, and supporting audits — all while helping shape the evolution of our compliance program.

This is a great opportunity for an experienced compliance professional who thrives in a dynamic environment and wants to make a real impact across the firm.

What You’ll Do

• Approve client risk ratings (EDD), new account openings, and KYC updates
• Review and approve post-trade and bookkeeping reports
• Correct trade errors and oversee daily compliance processes
• Prepare quarterly due diligence audits and regulatory reports
• Monitor regulatory developments (CSA, CIRO, FINTRAC, IRS) and recommend policy updates
• Support internal and external audits, as well as compliance training initiatives
• Once CIRO-approved, review and approve social media and external communications

What We’re Looking For

• 5+ years of compliance experience in a CIRO-regulated firm
• Portfolio Manager designation (in good standing), or CIM® designation + 2 years of investment management experience, or Supervisor for Managed Accounts category with CIRO
• Completion of the Investment Dealer Supervisor Course (within 4 months of hire)
• Strong knowledge of CIRO, CSA, and FINTRAC requirements
• Proven experience with CIRO/OSC audits
• Advanced Microsoft Office skills (Excel, Word, SharePoint)
• French is an asset

Ideal Candidate Profile

• Highly organized, analytical, and detail-oriented
• Strong communicator with high ethical standards
• Collaborative team player who enjoys variety in their work
• Proactive, adaptable, and thrives in a dynamic, entrepreneurial environment

Why Join?
At our client, you’ll be part of a growing, collaborative firm where your work has a direct impact. You’ll gain exposure to a wide range of compliance functions, have the opportunity to shape processes, and work closely with leadership in a supportive environment.