Director, Wealth Oversight Programs

• Own and oversee the Tier 1 supervision framework for SLFISI and SLCSI
• Ensure consistent execution of supervision activities across regions and teams
• Serve as senior escalation point for complex supervision matters
• Provide direct leadership to up to 10 direct reports
• Establish KPIs, KRIs, and productivity benchmarks
• Set vision and roadmap for Tier 1 supervision
• Drive data-informed decision-making and continuous improvement
• Act as principal escalation point for compliance-related inquiries
• Attend regional events to foster relationships with field leadership and advisors

Requirements

• University degree, Professional Designation (MBA, CIM, CFA)
• Minimum of 10 years of financial industry experience
• Knowledge of mutual fund and investment dealer compliance standards
• Proficiencies required for registration with CIRO as a Supervisor
• Exceptional communication skills
• Sound judgment and integrity in handling high-risk matters
• Experience managing high performing teams in a regulatory environment
• Knowledge of wealth products
• Ability to travel nationally (10%-15%)
• Bilingualism (French, English) required for Quebec

Core Competencies

Demonstrates expertise in Tier 1 supervision frameworks, compliance standards, and team leadership within the financial industry. Proven ability to drive data-informed decision-making and establish KPIs and KRIs for continuous improvement.

Highest-signal resume keywords

• Tier 1 Supervision Framework
• Financial Industry Experience
• Compliance Standards Knowledge
• Team Leadership
• Bilingualism (French, English)

ATS Optimization Keywords

Hard Skills

• KPI Establishment
• KRI Development
• Data-Informed Decision-Making
• Wealth Products Knowledge
• CIRO Registration Proficiency

Soft Skills

• Exceptional Communication Skills
• Sound Judgment
• Integrity

Certifications & Qualifications

• University Degree
• Professional Designation (MBA, CIM, CFA)

Industry Keywords

• Mutual Fund Compliance
• Investment Dealer Compliance
• Regulatory Environment
• High Performing Teams
• National Travel