Director, Tier 1 Supervision

Jobtailor; Montreal (administrative region); On-site; CAD 110,000 - 150,000; Full time

Job summary

Jobtailor is seeking a senior compliance leader to manage a team of Branch Managers in Montreal, overseeing regulatory inquiries and compliance reporting. You will drive policy updates, due diligence, and staff development to uphold high standards across the franchise.

The role requires deep securities industry knowledge, fluency in French and advanced English, and willingness to travel occasionally to ensure regulatory alignment and advisor servicing excellence.

Qualifications

• 10+ years of relevant securities experience.
• Bachelor or College Degree.
• Experience with IIROC, AMF, OSC, OBSI.
• Strong problem-solving skills.
• Strong industry knowledge across multiple products.
• Excellent communication and presentation skills.
• Fluency in French and advanced English is required.
• Available to travel occasionally.

Responsibilities

• Manage a team of Senior Branch Managers and Branch Managers.
• Oversee compliance reporting, product due diligence, and regulatory inquiries.
• Support Senior Branch Managers in servicing advisors.
• Responsible for branch visit program and supervision.
• Develop policy and procedure changes based on regulations.
• Train and develop Tier 1 employees.
• Act as Compliance subject matter expert on firm initiatives.
• Update Policy and Procedures as needed.

Skills

Compliance Reporting

Policy Development

Regulatory Inquiries

Product Due Diligence

Team Management

Training and Development

Branch Supervision

Industry Knowledge

Education

Bachelor or College Degree

Job description

Responsibilities

• Manage a team of Senior Branch Managers and Branch Managers
• Oversee compliance reporting, product due diligence, and regulatory inquiries
• Support Senior Branch Managers in servicing advisors
• Responsible for branch visit program and supervision
• Develop policy and procedure changes based on regulations
• Train and develop Tier 1 employees
• Act as Compliance subject matter expert on firm initiatives
• Update Policy and Procedures as needed

Requirements

• 10+ years of relevant securities experience
• Bachelor or College Degree
• Experience with various regulatory organizations (IIROC, AMF, OSC, OBSI)
• Strong problem-solving skills
• Strong industry knowledge across multiple products
• Excellent communication and presentation skills
• Fluency in French and advanced English is required
• Available to travel occasionally

Core Competencies

Demonstrates extensive experience in managing compliance reporting and regulatory inquiries while leading a team of Senior Branch Managers. Proficient in developing policies and procedures in alignment with regulatory standards and training employees to ensure adherence to compliance initiatives.

Highest-signal resume keywords

• 10+ Years Securities Experience
• Compliance Subject Matter Expert
• Regulatory Organizations Experience
• Fluency in French and Advanced English
• Strong Problem-Solving Skills

ATS Optimization Keywords

Hard Skills

• Compliance Reporting
• Policy Development
• Regulatory Inquiries
• Product Due Diligence
• Team Management
• Training and Development
• Branch SupervisionIndustry Knowledge

Soft Skills

• Excellent Communication Skills
• Presentation Skills

Industry Keywords

• IIROC
• AMF
• OSC
• OBSI