Responsibilities

- Manage a team of Senior Branch Managers and Branch Managers
- Oversee compliance reporting, product due diligence, and regulatory inquiries
- Support Senior Branch Managers in servicing advisors
- Responsible for branch visit program and supervision
- Develop policy and procedure changes based on regulations
- Train and develop Tier 1 employees
- Act as Compliance subject matter expert on firm initiatives
- Update Policy and Procedures as needed

Requirements

- 10+ years of relevant securities experience
- Bachelor or College Degree
- Experience with various regulatory organizations (IIROC, AMF, OSC, OBSI)
- Strong problem-solving skills
- Strong industry knowledge across multiple products
- Excellent communication and presentation skills
- Fluency in French and advanced English is required
- Available to travel occasionally

Core Competencies





Demonstrates extensive experience in managing compliance reporting and regulatory inquiries while leading a team of Senior Branch Managers. Proficient in developing policies and procedures in alignment with regulatory standards and training employees to ensure adherence to compliance initiatives.

Highest-signal resume keywords

- 10+ Years Securities Experience
- Compliance Subject Matter Expert
- Regulatory Organizations Experience
- Fluency in French and Advanced English
- Solid Problem-Solving Skills

ATS Optimization Keywords

Hard Skills

- Compliance Reporting
- Policy Development
- Regulatory Inquiries
- Product Due Diligence
- Team Management
- Training and Development
- Branch SupervisionIndustry Knowledge

Soft Skills

- Excellent Communication Skills
- Presentation Skills

Industry Keywords

- IIROC
- AMF
- OSC
- OBSI

📌 Director, Tier 1 Supervision (Montreal)
🏢 Jobtailor
📍 Montreal