Branch Manager, Winnipeg

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

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.

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