Branch Manager/Investment Fund Specialist

Fiduciary Trust Company of Canada (“FTCC”), a nationally regulated Trust Company, and its predecessors have been successfully providing customized discretionary wealth management solutions to affluent Canadians for over 35 years. We are investment counselors and estate planning experts who help clients preserve, grow and transfer their wealth. A trusted and proven private wealth boutique, FTCC is backed by the strength and expertise of a global investment leader, Franklin Templeton, whose roots are well established in the Canadian market and date back to 1954. Since then, we have been committed to one goal: delivering exceptional asset management services to Canadian investors.

The unique combination of Investment Counseling, Investment Management and Personal Trust expertise offered by FTCC, combined with the global scale and expertise of the asset management firms that comprise Franklin Templeton Investments sets us apart from our competitors in our ability to deliver highly customized wealth management solutions to clients and their third-party advisors.

Our collective global investment teams bring specialized expertise across diverse asset classes and serve institutional, retail, and high-net-worth clients.

The IFS is responsible for managing and growing an existing client book of business through seeking referrals from existing clients via proactive sales and client servicing.

Typical clients include:

• Investors whose needs are not met by other investment advisors;
• Investors who are or are related to existing discretionary or Personal Trust clients of Fiduciary Trust Company of Canada (“FTCC”);
• Clients who are referred to FTC ISI from an external referring entity;
• Franklin Templeton employees and their families where appropriate.

Client Sales and Service

The successful incumbent is expected to:

• Proactively contact existing clients regarding their portfolio asset mix and investment selection with the goal of deepening existing relationships and securing additional assets;
• Ensure clients are provided with high level advice regarding investments and appropriate plan types;
• Actively contribute and support the team’s sales and client servicing efforts, demonstrating a positive work relationship with all team members;
• Generate client referrals from existing clients;
• Proactively generate sales.

The IFS is expected to maintain superior knowledge of products and services, while executing at a high standard of professional competency and commit themselves to Continuing Education (CE) requirements.

The IFS must ensure that all transactions are executed in accordance with all regulatory, client and enterprise risk management expectations.

The Branch Manager/IFS is specifically expected to:

• Remain current on all regulatory matters and industry accepted standards;
• Proactively/reactively help develop and implement policy and procedures necessary to monitor compliance with applicable securities regulations and industry best practices;
• Help continually review and revise existing policies, as necessary, to ensure compliance with changing market/legal/ regulatory environments;
• Assist in training and communicating such policies and procedures to all Investment Fund Specialists;
• Assist FTC ISI’s Complaint Officer and Privacy Officer in the handling of client complaints and or privacy related issues;
• Approve all new client accounts to ensure completeness and suitability to regulatory standards outlined in the policy and procedure manual;
• Review and approve all Know Your Client updates to the standards outlined in the policy and procedure manual;
• Report to FTC ISI Senior Management and the CCO any regulatory issues that may require reporting to FTC ISI’s Industry Regulator.
• Perform ongoing reviews and reporting, including:

Daily Trade review to the standards outlined in the FTC ISI policy and procedure manual

Monthly reviews of the branch and sub-branch

Quarterly reviews of the branch and sub-branch

Assist in other ad hoc reviews or reporting related to regulatory compliance.

• University degree or college diploma preferred;
• Completion of minimum educational and experience requirements to be registered as a dealing representative and Branch Manager under Canadian Investment Regulatory Organization (CIRO);
• Completion of minimum experience requirement under CIRO of two years as a registered salesperson, trading partner, director, officer or compliance officer;
• Bilingual in French would be an asset.