Senior Manager, Regulatory Supervision

Senior Manager, Regulatory Supervision – responsible for Tier 1 supervision within designated branches. Reporting to the Director, Regulatory Supervision.

What you’ll be doing

Accountable for providing leadership, expertise, guidance, support and training to branch staff on sales supervision. Ensure adherence to industry regulations, acceptable standards of business ethics and conduct. Recommend strategies to reduce follow‑up on supervisory queries.

How you’ll succeed

• Supervision of New Investment Advisors (RRs) or Assistants (IRs) and experienced Investment Advisors (RRs) or Assistants (IRs).
• Oversee trading and account supervision for Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and related activities.
• Review and approve new accounts and account updates.
• Effectively manage the overarching governance and compliance framework for th...