Assistant Branch Manager

The Assistant Branch Manager role is a progressive opportunity for professionals who want to build a long-term career in wealth management. The role sits at the centre of branch operations, advisor practice management, compliance execution, and community presence. Success in this role comes from reliability, problem-solving, strong interpersonal skills, and a genuine desire to support advisors and their teams.

Requirements

• Manage escalations and ensure resolution on issues arising from daily and monthly tier-one account activity involving clients and employees.
• Review and approve all new account documentation for suitability.
• Marketing approvals.
• New Issues, Private Placement, and Syndication process approvals.
• Provide guidance and coaching on compliance policies and procedures, acting as a subject matter expert for advisors and their teams.
• Liaise with Operations, Compliance, and Credit on compliance-related matters as required.
• Review and approve advisor-created marketing materials and collaborate with the Marketing team to ensure proper governance.
• Facilitate and participate in regular discussions with Branch Managers, VP, Deputy CCO, National Sales, and the Chief Risk Officer regarding compliance matters.
• Communicate effectively across the region to support policy adoption, compliance strength, and action planning at the branch level.
• Act as first-level escalation point for branch compliance issues, escalating to the Branch Manager when appropriate.
• Participate in audits and compliance reviews, including follow-up and coaching.
• Advisor team practice management and coaching.
• Practice risk review and coaching.
• Provide tactical solutions to improve advisor metrics.
• Policy and procedural change management and implementation.
• Ensure operational effectiveness of the branch and maximize advisor team performance.
• Review and approval of new account documentation if delegated by the Branch Manager.
• Marketing approvals if delegated by the Branch Manager.
• New Issues, Private Placement, and Syndication approvals if delegated by the Branch Manager.
• Supervision of sub-branches or remote locations if applicable.
• Participate in the escalation path for client complaints and compliance matters.
• Assist with succession planning for IA teams.

Benefits

• Comprehensive health & dental benefits
• Group RRSP matching plan
• Paid time off