Senior Manager, CFIS Compliance

Co-operators; Mississauga, Burlington; Hybrid; CAD 100,000 - 120,000; Full time

Job summary

A leading Canadian financial services co-operative is seeking a Senior Manager, Compliance to provide strategic leadership to the compliance teams. You will oversee compliance initiatives, revise branch review processes, and manage daily operations while fostering collaboration and improving efficiency. This role requires expert knowledge of CIRO regulations and at least 10 years of professional experience in compliance. The ideal candidate will also possess strong people leadership capabilities and critical thinking skills, ensuring alignment with organizational goals.

Benefits

Training and development opportunities

Flexible work options

Comprehensive total rewards package

Paid volunteer days

Qualifications

• Minimum 10 years of professional experience in compliance.
• Experience with branch management and compliance practices.
• Completion of CSC is considered an asset.

Responsibilities

• Provide strategic leadership to Branch Review and Branch Compliance teams.
• Oversee strategic compliance initiatives and create audit schedules.
• Manage daily supervision matters and make senior-level decisions.

Skills

Expert knowledge of CIRO regulations

In-depth knowledge of compliance practices

People leadership experience

Critical thinking

Education

Post-secondary education in Business, Law, Finance or related field

Mutual fund licensed

Job description

Job Category: Member Relations & Corporate Services

Company: CGL
Department: Compliance
Employment Type: Regular Full-Time
Work Model: Hybrid
Language: This role operates in English.
Additional Information: This/these role(s) is/are currently vacant

The Opportunity:

We are a leading Canadian financial services co‑operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. That’s why we prioritize our people, to ensure we provide a strong culture and development opportunities which enables our team to thrive and to live our purpose. The best part is that you will work with people that care passionately about you, our clients and our communities.

As the Senior Manager, Compliance you will provide strategic leadership to the Branch Review and Branch Compliance teams, driving cross‑functional effectiveness. Your key responsibilities will include overseeing strategic compliance initiatives, revising existing branch review/Tier 1 processes, creating audit schedules, branch risk assessment and refining the remediation process related to audit issues. Additional responsibilities will also include creating efficiencies between two teams, and making senior‑level decisions, and managing daily supervision matters. The Senior Manager sets operational objectives, policies, procedures and internal manuals, and serves as the alternate CFIS Chief Compliance Officer as required by CIRO. The role requires expertise in CIRO regulations, branch management, and compliance practices for branch review team and Tier 1 branch compliance managers.

How you will create impact:

• Partnering with VP to review escalations of complex issues to ensure high quality work.
• Leading 2 functional areas with goals to create synergies, collaboration and efficiency.
• Building on their partnership and impact on overall achievement of CFIS goal mandate
• Providing ongoing advice based on CFIS policies and procedures manual to first line, and second line, as required.
• Building trust with compliance staff, CFIC Chief Compliance Officer, and the Branch Review team, Legal, among other internal stakeholders.
• Providing leadership to Compliance team providing them with strategy direction on the execution of overall compliance strategy.
• Participating and providing input into strategic implementation planning and execution phases.
• Providing leadership, development and guidance to direct report strengthening bench strength across the portfolio.
• Elevating the inter workings of the 2 teams optimizing output, quality and collaboration
• Review trends and provide best advice as to plan forward.

To join our team:

• You have completed a post‑secondary education in a related discipline such as Business, Law, Finance, or a related field.
• You are mutual fund licensed and have successfully completed at least one of the Branch Managers ‘courses (BME/BCO)
• You have in depth knowledge and hands‑on professional working experience with CIRO regulations, branch management, and compliance practices for branch review teams and Tier 1 branch compliance managers.
• Completion of CSC is considered an asset.
• You bring a minimum of 10 years of professional experience in compliance, along with significant people leadership experience.
• You have expert knowledge of mutual funds dealer regulatory requirements, industry changes, and compliance trends

How you will succeed:

• You build trusting relationships and provide feedback to enable the successful development of your team and colleagues.
• You foster innovation and continuous improvement with a focus on client experience.
• You facilitate the adoption of change and create a high‑performance culture through alignment of your team’s work with organizational goals.
• You successfully convey messages and demonstrate openness to exploring alternative points of view.
• You use critical thinking to guide decision making and apply a strategic mindset to adjust business plans based on shifting priorities.

What you need to know:

• You will be in direct contact with clients and service providers.
• You will be subject to a Background check as a condition of employment, in the event you are the successful candidate.
• Extended work hours (including evenings and weekends) may be required.
• You will travel regularly.
• You have a valid driver’s license and insurance and have your own vehicle or have access to one.

What’s in it for you?

• Training and development opportunities to grow your career.
• Flexible work options and paid time off to support your personal and family needs.
• A holistic approach to your well‑being, with physical and mental health programs and a supportive workplace culture.
• Paid volunteer days to give back to your community.
• In addition to our competitive salary and incentive programs, eligible also benefit from a comprehensive total rewards package including group retirement savings plans, pension and benefits (e.g., health and wellness, dental, disability and life coverage), mental health support and an employee assistance program.