Deputy/Assistant Director, Financial Advisers Supervision (Contract)
Core
Supervise financial advisory intermediaries (banks, insurers, brokers) and enforce market conduct standards under the Financial Advisers Act and Insurance Act.
Role type
Senior regulatory supervisor (financial services)
Builds
Regulatory compliance and market conduct standards for financial institutions
Domain
Financial services regulation
Deliverable
dashboards & analysis
Required skills
Audit, analytical skills, regulatory knowledge, application assessment, stakeholder collaboration, multi-tasking
Preferred skills
Data analysis, report review, legislative change initiatives
Responsibilities
Supervise financial institutions conducting advisory activities, respond to public queries on licensing and conduct, assess regulatory filings, support supervisory reviews and process improvements
Seniority
Senior, hands-on IC