Director, Wealth Oversight Programs
1 month ago
You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.
Reporting to the AVP, Head of Oversight Programs (“AVP”), the Director, Wealth Oversight Programs (“Director”) will oversee a team of 15-20 individuals who are responsible for executing on our Tier 1 wealth (mutual fund and investment dealer lines of business) and insurance oversight and market conduct activities within designated regions. The Director will act with a very high level of integrity and independence and, in close partnership with the Director, Compliance Best Practices and Initiatives, will support field management and advisors in ensuring they are aware and are trained on matters related to compliance and running a compliant business.
**What will you do?**
- Team Oversight and Support_
- In partnership with other Director(s), Wealth Oversight Programs: a) oversee the execution of wealth and insurance monitoring programs; b) own and continually enhance first line supervision policies and processes, including the supervision manual and related training
- Proactively identify process improvement opportunities, risks and capability needs to support efficient and effective execution of Tier 1 oversight
- Regularly review trade volume reports (daily, weekly, monthly) and reallocate work as needed to ensure the team is able to meet and complete their daily trade reviews within regulatory and policy requirements
- Proactively manage workload and capacity across the team, ensuring adequate coverage is in place during team absences and/or in response to other capacity drivers
- Support the team leads in managing queries effectively and in accordance with regulatory and policy requirements
- Conduct regular meetings with team members to ensure that policies and procedures are being properly and consistently applied across the teams and to discuss any areas/items of concern or trending noted by the team leads or other stakeholders
- In partnership with Director, Governance Practices and Transformation, effectively integrate and/or evolve the monitoring programs
- In partnership with the Director, Compliance Best Practices and Initiatives, effectively integrate, leverage, support and coach the Compliance Best Practices Consultants across the team and designated regions to help ensure that they are prioritizing the right coaching and training opportunities
- Work closely with the AVP to identify reporting needs and requirements to support effective management of team and to proactively identify areas of concern and trending to get ahead of unfavourable advisor practices
- Identify appropriate performance metrics (KPIs/KRIs) to be able to distinguish and reward high-performers as well as identify knowledge and performance gaps that require additional support and coaching
- Lead by example and cultivate a culture of ownership, accountability and collaboration
- Continually champion and role-model DEI and engagement best practices across the BG&C organization, starting within the team
- Team Oversight and Support_
- In partnership with other Director(s), Wealth Oversight Programs: a) oversee the execution of wealth and insurance monitoring programs; b) own and continually enhance first line supervision policies and processes, including the supervision manual and related training
- Regularly review trade volume reports (daily, weekly, monthly) and reallocate work as needed to ensure the team is able to meet and complete their daily trade reviews within regulatory and policy requirements
- Proactively identify process improvement opportunities, risks and capability needs to support efficient and effective execution of Tier 1 oversight
- Conduct regular trending analysis from audit and/or oversight programs to get ahead of unfavourable advisor practices and identify systemic issues and opportunities for program improvement
- Identify appropriate performance metrics (KPIs/KRIs) to be able to distinguish and reward high-performers as well as identify knowledge and performance gaps that require additional support and coaching
- Field Engagement and Support_
- Act as principal escalation point for all compliance-related inquiries, matters or issues raised by field leadership
- Attend regional events to help foster strong relationship with field leadership and advisors and promote a culture of compliance
- Head Office Engagement and Support_
- Work closely with Tier 2 Compliance team to address and resolve any identified issues
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