Director, Wealth Oversight Programs
$110,000–$180,000 year
On-siteToronto, Ontario, Canada
Job Summary
Oversee the Tier 1 supervision framework for Sun Life's mutual fund and securities dealers, ensuring consistent execution across regions for trading supervision, new accounts, KYC reviews, and advisor conduct. Lead up to 10 direct reports and influence 31 Corporate Branch Managers to establish clear expectations, performance objectives, and accountability standards. Serve as the senior escalation point for complex supervision matters, regulatory inquiries, audits, and examinations while designing and maintaining policies aligned with CIRO, CSA, and OFSI expectations. Drive strategy, transformation, and continuous improvement by simplifying processes, modernizing tools, and implementing data-informed decision-making. Partner closely with Tier 2 Compliance, Operations, Legal, and Risk leadership to enable advisor sales and growth.
Required Qualifications
- University degree
- Professional Designation (MBA, CIM, CFA)
- Minimum of 10 years of financial industry experience
- Knowledge of mutual fund and investment dealer compliance standards and practices
- Proficiencies and experience required for registration with CIRO as a Supervisor
- Exceptional communication skills, with the ability to engage and influence senior executives, regulators, field leadership, and advisors
- Sound judgment, integrity, and independence in managing sensitive and high-risk matters
- Knowledge of CIRO and CSA rules and guidance and the ability to apply these in practical situations
- Proven track record in building and managing high performing, engaged teams of professionals, some of whom might be in remote locations
- Strong strategic thinking skills with the ability to balance regulatory rigor, operational efficiency, and business enablement
- Knowledge of wealth products
- Experience working in an OSFI-regulated environment, with alignment to three lines of defense model
- Ability to travel nationally (10%-15%)
- Bilingualism (French, English, both oral and written) for Quebec only
Desired Qualifications
- Bilingualism (English/French) considered an asset
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