Director, Tier 1 Supervision
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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
- Strong 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
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