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.