Senior Compliance Manager, Trade Surveillance, Mutual Fund Dealer
$94,600–$176,000 year
On-siteToronto, Ontario, Canada
Job Summary
Execute and oversee the dealer's Tier 2 account supervision program in accordance with CIRO requirements, leading daily and periodic supervisory reviews, trend analysis, and trade reviews. Mentor the Tier 2 team, develop supervision policies and standards, and provide effective challenge of Tier 1 supervisory activities to ensure regulatory compliance. Identify, assess, and escalate conduct, regulatory, and reputational risks while preparing executive-level reporting on supervisory outcomes and emerging risks. Support regulatory examinations, internal audits, and deliver training to business and supervisory personnel on supervisory obligations and industry best practices.
Required Qualifications
- 8+ years of relevant experience in compliance or supervision
- preferably within a mutual fund dealer, investment dealer, or applicable regulator
- A post‐secondary degree in a related field
- or an equivalent combination of education and experience
- Detailed knowledge of CIRO Dealer Rules
- provincial securities legislation
- and account supervision requirements applicable to mutual fund dealers and preferably investment dealers
- Strong understanding of suitability requirements
- client-focused reforms
- account supervision practices
- sales conduct oversight
- conflict management
- supervisory controls
- and risk-based monitoring frameworks
- Demonstrated ability to exercise sound regulatory judgment
- effectively challenge business practices
- and provide credible oversight and independent review
- Ability to synthesize complex information
- and provide meaningful insights and recommendations to senior management and governance committees
- Strong stakeholder management skills
- with the ability to influence and collaborate across business, compliance, risk, legal, and operational functions
- Comfortable leveraging data analytics, reporting tools, and digital technologies to enhance supervisory effectiveness, oversight, and operational efficiency
Desired Qualifications
- Demonstrated leadership experience managing teams
- Recognized industry and compliance courses or designations
- e.g., CSC, CPH, PDO, CCO Qualifying Exam, CIM, CAMS, or equivalent
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