Director, Wealth Oversight Programs
Core
End-to-end Tier 1 supervision and oversight for Sun Life's mutual fund and securities dealers, ensuring regulatory alignment and risk management.
Role type
Director, Wealth Oversight Programs (Leadership & Regulatory Strategy)
Builds
Tier 1 supervision framework, dealer-level risk management programs, and scalable oversight processes for SLFISI and SLCSI.
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Tier 1 supervision framework design, regulatory accountability (CIRO/CSA/OFSI), team leadership (10+ direct reports), strategic roadmap development, process modernization, data-informed decision-making, conflict of interest management, KYC review oversight, advisor conduct monitoring, KPI/KRI establishment, DEI advocacy, OSFI-regulated environment experience, three lines of defense model knowledge, wealth product knowledge, national travel management.
Preferred skills
Bilingualism (English/French), MBA/CIM/CFA designation, experience in remote team management.
Technologies
Supervision tools, reporting systems, compliance management platforms.
Responsibilities
Own and oversee Tier 1 supervision framework execution across regions; ensure consistent application of policies and supervision manuals; serve as senior escalation point for complex supervision matters and regulatory inquiries; provide direct leadership and coaching to up to 10 direct reports; set vision and roadmap for supervision aligned to enterprise strategy; identify opportunities to simplify and modernize supervision processes; drive data-informed decision-making; partner with internal stakeholders to implement regulatory changes; act as principal escalation point for field compliance inquiries; attend regional events to foster relationships with field leadership.
Seniority
Director, strategic leadership & team management
