Branch Oversight Manager
Core
Lead, mentor, and develop a Branch Oversight Analyst team to conduct risk-based testing and reviews for Registered locations, ensuring compliant business practices and identifying trends in the Canadian Retail Advice and Solutions business.
Role type
Senior IC compliance/oversight manager
Builds
Operational excellence and risk management programs for financial advisors
Domain
Financial services (wealth products, mutual funds) / Regulatory compliance (OSFI, CIRO, CSA)
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Risk-based testing methodology, gap analysis, corrective action planning, trend identification, project management, regulatory translation, securities registration
Preferred skills
Investment dealer product knowledge, UMIR regulations, three lines of defense model, bilingualism (French/English for Quebec), professional financial designation (CIM, CFA, CAMs, CPA/CA)
Technologies
Resolver
Responsibilities
Lead and mentor the analyst team, develop annual review plans, coordinate branch oversight reviews, conduct risk-based testing, approve planning and sampling activities, evaluate oversight procedures, track and report on issues and remediation, manage concurrent projects
Seniority
Senior, hands-on IC with mentorship duties