• 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, Professional 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 Setting


• High Performing Teams


• National Travel