Director Tier 1 Supervision
Core
Design and maintain the Business Conduct & Tier 1 Surveillance Program for all registered branches across Canada in accordance with securities regulations and SROs.
Role type
Director of Compliance – Business Conduct & Tier 1 Supervision
Builds
Compliance reporting systems, product due diligence frameworks, and trade surveillance programs
Domain
Financial services / Securities regulation / Wealth management
Deliverable
Dashboards & analysis
Required skills
Securities regulation expertise, team management, policy development, regulatory inquiry handling, trade surveillance analysis, policy drafting, regulatory trend analysis
Preferred skills
Problem solving, industry knowledge across multiple products, communication and presentation skills
Technologies
Compliance reporting systems, trade surveillance tools
Responsibilities
Manage a team of Senior Branch Managers, Branch Managers, and Branch Administrators; oversee system integrity of compliance reporting and product due diligence; support Senior and Branch Managers in servicing advisors; manage the branch visit program; develop and recommend policy changes based on regulatory events; train and develop Tier 1 employees; draft and distribute Compliance memos; act as the Compliance subject matter expert; update Policy and Procedures and Forms
Seniority
Director, strategic oversight & team leadership