- 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