Corporate Branch Manager

What You Will Do

• Overall supervisory responsibility for an assigned group of AWM registered individuals and branch/sub-branch office locations under their supervision
• Approval of all new accounts, New Account Application Forms 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 deter...