Branch Manager



  • Accounting & Finance
  • Job Code: 9P941805412
  • Posted: April 12, 2018
David Aplin Group, one of Canada's Best Managed Companies has partnered with our client to assist them in recruiting a Branch/ Operations Manager based in Saskatoon. 

Our client serves a niche market with customized financial products designed to be leveraged to meet the planning needs of owners of privately-held Canadian businesses. They offer a collaborative work environment, strong mentorship, a competitive compensation package, benefits plan, as well as numerous incentives and reward programs. They genuinely care about the success of their people and value the contribution that they make towards improving the client experience.  

Reporting to the Senior Branch Manager, the Branch Manager oversees all aspects of branch operations and compliance supervision in order to help the branch become more successful and will play a significant role in assisting the strategic direction of the business.

The Role:

  • Ensure compliance with corporate policies and industry regulatory bodies by and ensure that proper policies and procedures are followed
  • Commitment that internal controls are in place and functional and identify opportunities for internal process improvement and implementation
  • Supervise a team of Financial Advisors at various branch locations and conduct branch visits to review and implement branch level practices
  • Coordinate new advisor registration and licensing as well as administration and compliance
  • Review daily, quarterly and monthly activity markers and prepare branch level reports
  • Remain up to date on financial industry trends, and work alongside the Corporate Audit practice
  • Liaising with Compliance Department
  • Hold monthly meetings with advisors under supervision, and train advisors and other support staff on new and existing policies and procedures
  • Provide mentorship to the team of advisors, and ensure a value-add relationship to assist them in finding solutions to their issues/ concerns
  • Offer new ideas to advisors with respect to working effectively and efficiently within the firm guidelines
  • Assist advisors in understanding compliance rules within the framework of their business

The Ideal Candidate:

  • University degree or equivalent post-secondary education
  • 2+ years of experience in the financial services industry, with some branch and sales management experience
  • Completion of the Canadian Securities Course (CSC)
  • Completion of the Branch Managers Course, Effective Management Seminar
  • Completion of the Conduct and Practices Handbook (CPH)
  • Options License
  • Securities License
  • Must be able to be licensed as a Supervisor or Registered Representative (RR Supervisor)
  • Ability to understand, analyze and interpret Regulatory legislation
  • Excellent problem solving, organizational and communication skills
  • Ability to work both independently and as part of a team

If you are interested in this position and meet the above criteria, please click the Apply button to send your resume in confidence directly to Angela Degelman, Managing Consultant, Aplin Accounting & Finance. We thank all applicants; however, only those selected for an interview will be contacted.  #LI-SAS


If this is your first introduction to us, we invite you to become one of our satisfied candidates. David Aplin Group has been Canadian owned since 1975. Our professional consultants are passionate about helping you find a fulfilling job or career and ensuring your complete satisfaction with our process. Our proven track record, nearly 4 decades long, is largely due to our team of highly skilled and successful specialists. Through superior service and a commitment to long-term relationships, we provide deep specialization in core areas for complete recruiting and HR solutions across Canada - all from one source. We look forward to exceeding your expectations!

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Angela Degelman

Accounting & Finance


Managing Consultant

  • 306.665.1386

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