Mark Santos
Branch Manager @Investment Planning Counsel
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WORK HISTORY
Branch Manager @Investment Planning Counsel
Supervise the activities of an assigned group of Advisors; fulfilling all requirements for Tier 1 supervision as defined within MFDA Policy 2, IPCIC’s Standard Operating Procedures and IPCIC Policies and Procedures. • These duties include but are not limited to: Daily NAAF, KYC and Trade Approval and Marketing Approvals as received.• Monitoring for compliance with IPCIC and MFDA standards of conduct.• Following up, monitoring and tracking inquires and/or deficiencies, taking corrective action where required.• Provide initial and ongoing review and approval of leverage proposals and transactions in leveraged accounts.• Periodic vacation and absence coverage for other Branch Managers.• Participate in various compliance projects, assignments and initiatives as requested from time to time.• Provide regular and ad-hoc reporting to Compliance Management on the status. • Perform reviews of all business locations being supervised on a rotational basis and reporting on the status of compliance.• Monitoring for appropriate controls and other areas of potential risk and/or fraud. Provide for training or guidance to advisors • Assist and support MFDA Advisors to ensure that they fully understand the requirements set out in IPCIC’s National Policies and Procedures Manual, the rules, policies and by-laws of the MFDA, and all Compliance Bulletins.• Participate in the development and delivery of educational materials and programs to IPCIC Advisors.
EDUCATION
University of Guelph-Humber
Bachelor of Business Administration (B.B.A.), Finance
SKILLS
ABOUT MARK SANTOS
Experienced Branch Manager with a demonstrated history of working in the financial services industry. Skilled in Compliance Supervision, Mutual Funds, Financial Services, and Investments
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