Assistant Branch Manager

Position Overview
The Assistant Branch Manager role is a progressive, high-impact opportunity for professionals who want to build a long-term career in wealth management. This position sits at the centre of branch operations, advisor practice management, compliance execution, and community presence. It is designed for individuals who are motivated to learn, contribute, and build a strong professional reputation through consistent performance, collaboration, and a leadership mindset.
Working closely with the Branch Manager, the ABM plays a visible leadership role in the office five days a week and maintains an active presence in the local community. Success in this role comes from reliability, problem-solving, strong interpersonal skills, and a genuine desire to support advisors and their teams. For those who excel, this role serves as a gateway to expanded responsibility and diverse opportunities across the wealth management industry.

The ABM is accountable for advisor practice management, operational effectiveness, and regulatory execution within the branch and region. Acting as the designated compliance and risk operations leader, the ABM ensures the region meets all compliance requirements while providing guidance, coaching, and practical solutions that enhance advisor performance, client experience, and the firm's reputation.

This is an existing vacancy.

Duties and Responsibilities
• 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.

Qualifications
This role is best suited for a tech-savvy, solutions-oriented professional who thrives in a team environment and is motivated to grow into a leadership career. The ideal candidate is dependable, proactive, and eager to learn how to become an effective connector—both within the firm and with advisors from competitive organizations—to help create relationship-building opportunities for the Branch Manager.
• Excellent written and verbal communication skills.
• Strong relationship management capabilities, including problem solving, mediation, and leadership.
• Minimum 10 years of experience in Compliance or related experience at a CIRO-regulated investment dealer.
• At least 5 years of experience in a full-service brokerage environment with supervisory experience.
• Demonstrated experience coaching advisors and supporting revenue growth.
• Strong organizational and time-management skills.
• Proficiency with Dataphile is an asset.
• Proficiency with PortfolioAid is an asset.
• Proficient in Microsoft Office Suite.
• Sound judgment in regulatory and supervisory matters.
• Ability to proactively manage and communicate change in a fast-paced industry.
• Travel may be required.

Education and Licensing
• Post-secondary degree preferred.
• Thorough knowledge of administrative policies and procedures across Operations, Human Resources, Compliance, Documentation, Finance, Commissions, and Registrations is an asset.
• Must be licensed as a Registered Representative (RR) with CIRO.
• Completion of or progress toward the Supervisor (CIRO) and Options Supervisor Course (OPSC) is an asset.
• Derivatives Fundamentals Course (DFC) and Options Licensing Course (OLC) are assets.

The expected annualized base salary range for this role is $94,500-$115,500.
The actual salary offered will take into consideration a wide array of factors including, but not limited to, the individual's skill, experience, education and training, and the consideration of internal equity.
Richardson offers a competitive total rewards package in addition to the base pay, which includes a performance-based incentive plan, comprehensive health & dental benefits, a group RRSP matching plan and paid time off.