At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an prospect to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so. We are currently seeking a Corporate Branch Manager. In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of Assante’s two dealerships, Assante Financial Management (AFM), a member of the Mutual Fund Dealers’ Association (MFDA) and Assante Capital Management (ACM), a member of the Investment Industry Regulatory Organization of Canada (IIROC), is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and procedures.

Overall supervisory responsibility for an assigned group of AFM and ACM registered individuals and branch/sub-branch office locations under their supervision Approval of all new accounts, New Account Application Forms (NAAF) and related required documentation to ensure completeness and follow-up on any deficiencies noted within a reasonable time frame Ensure registered individuals are properly registered, do not exceed requirements of their registration, provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products, disclose all outside business activities to Head Office Compliance, and only conduct activities for which they are registered for or have otherwise obtained approval from Head Office Compliance Monitor registered individuals during the initial 90-Day Training Program,



the 6-month supervision period and during any periods of ‘close supervision’ as determined by Head Office Compliance Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements Report any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to Head Office Compliance immediately Be responsible for ongoing education and training of both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures Effectively control access to supervisory records and files to ensure client confidentiality Minimum of annual visits with sub branch locations as part of ensuring overall compliance and effective supervision of registered individuals Report regularly to CCO & VP, Compliance (Head Office) in relation to: Overall level and effectiveness of branch and supervision of registered individuals and compliance with securities regulatory requirements and internal supervisory and compliance policies and procedures Performance and results of any internal or external branch examinations performed across any branch/sub-branch office locations under their supervision Inquiries, requests for information from the Securities Commissions or local offices of IIROC or the MFDA Client complaints, lawsuits or allegations of misconduct levied against any registered individuals or branches Minimum 5 years securities industry experience, with minimum 2 years’ experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm Fully proficient in French.





Experience with a securities commission or self-regulatory organization would be an asset MFDA or IIROC licensed or will be required upon hire (subject to regulatory approval) An undergraduate degree Canadian Securities Course, Branch Managers Course, and Partners, Directors and Senior Officers Qualifying Exam Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook Regular travel required Training & Development This role follows our in-office work model and requires employees to be onsite four days per week to support collaboration and business needs. In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others.

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential.

We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally. Training Reimbursement Corporate Discount Program Parental Leave Top-up program We are focused on building a diverse and inclusive workforce. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at accessible.

📌 District manager stage (Toronto)
🏢 CI Financial
📍 Toronto