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Branch Manager (Investment Dealer Brokerage)

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What is the Branch Manager (Investment Dealer Brokerage) role?

The Branch Manager’s job at an investment dealer is to supervise the activities of other registered people in the branch or division of the firm. For retail branch supervision, this usually includes supervising Registered Representatives and/or Investment Representatives, some of whom, in addition to their basic license is also approved to deal in options or futures or manage clients’ money on a discretionary basis. In addition to retail branch managers, there are also branch managers/ supervisors that perform compliance oversight of the activities of institutional approved persons and staff including traders, institutional salespeople, research analysts, and investment bankers. Regardless of whether it is retail or institutional supervision, a Branch Manager will require good technical skills (knowledge of regulatory rules and requirements), human skills (the ability to manage and work well with people), administrative skills, and decision-making and problem-solving skills. The typical career path leading to the Retail Branch Manager’s job is to have been an RR and spent several years as an Assistant Branch Manager. For institutional supervision, the career path is usually through more junior compliance roles.

What are the responsibilities of this role?

  • Making certain that employees perform the duties of their jobs as required, and setting standards for performance
  • Ensuring that the branch meets its business objectives
  • Monitoring compliance with all rules, regulations and laws
  • Coordinating with other branches and senior managers
  • Implementing the firm’s policies and procedures

What are the alternate names for this role?

Supervisor

What is the earning potential for this role?

$65,000-$150,000/year
Avg Salaries from Canadian job sites

What are the required & recommended credentials and courses?

Below are the courses and credentials required and/or recommended for this career.

Courses

Canadian Securities Course (CSC®)

Conduct and Practices Handbook Course (CPH®)

Investment Dealer Supervisors Course (IDSC)

Options Supervisors Course (OPSC) (if supervising option activity DFC and OLC or DFOL also required)

Canadian Commodity Supervisors Course (if supervising futures activity DFC and FLC also required)

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