Own and oversee the Tier 1 supervision framework for SLFISI and SLCSI

Ensure consistent execution of supervision activities across regions and teams

Serve as senior escalation point for complex supervision matters

Provide direct leadership to up to 10 direct reports

Establish KPIs, KRIs, and productivity benchmarks

Set vision and roadmap for Tier 1 supervision

Drive data-informed decision-making and continuous improvement

Act as principal escalation point for compliance-related inquiries

Attend regional events to foster relationships with field leadership and advisors

Requirements

University degree, Qualified Designation (MBA, CIM, CFA)

Minimum of 10 years of financial industry experience

Knowledge of mutual fund and investment dealer compliance standards

Proficiencies required for registration with CIRO as a Supervisor

Exceptional communication skills

Sound judgment and integrity in handling high-risk matters

Experience managing high performing teams in a regulatory environment

Knowledge of wealth products

Ability to travel nationally (10%-15%)

Bilingualism (French, English)



required for Quebec

Core Competencies Demonstrates expertise in Tier 1 supervision frameworks, compliance standards, and team leadership within the financial industry. Proven ability to drive data-informed decision-making and establish KPIs and KRIs for continuous improvement.

Highest-signal resume keywords

Tier 1 Supervision Framework

Financial Industry Experience

Compliance Standards Knowledge

Team Leadership

Bilingualism (French, English)

ATS Optimization Keywords Hard Skills

KPI Establishment

KRI Development

Data-Informed Decision-Making

Wealth Products Knowledge

CIRO Registration Proficiency

Soft Skills

Exceptional Communication Skills

Sound Judgment

Integrity

Certifications & Qualifications

University Degree

Professional Designation (MBA, CIM, CFA)

Industry Keywords

Mutual Fund Compliance

Investment Dealer Compliance

Regulatory Environment

High Performing Teams

National Travel

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📌 Director, Wealth Oversight Programs (Toronto)
🏢 Jobtailor
📍 Toronto