You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You’ll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you’ll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

JOB DESCRIPTION:

Canada Compliance is hiring a Field Supervision Manager. Reporting to the Field Supervision Director, this role involves overseeing Tier 2 mutual fund monitoring and surveillance, managing a team of over5 Compliance Analysts, ensuring regulatory and policy compliance, and providing guidance on complex issues.

WHAT WILL YOU DO?

• Ensure compliance with regulatory requirements and company policies
• Supervise the daily operations of the Tier 2 team
• Conduct regular reviews of the team’s activities, providing necessary coaching, guidance, and support
• Develop and establish policies and procedures for Tier 2
• Offer training and assistance to staff, addressing and resolving complex compliance matters
• Communicate with regulatory bodies and internal stakeholders
• Manage the Tier 2 team, including hiring, training, and performance evaluations
• Monitor transactions to ensure regulatory compliance, investigating and resolving breaches
• Prepare and present reports to senior management
• Stay updated on regulatory changes and industry best practices
• Collaborate with other departments for comprehensive compliance coverage
• Develop and maintain relationships with regulatory bodies

The incumbent must be able to manage time effectively on multiple concurrent initiatives and cultivate strong working relationships with peers and senior management. In addition to demonstrating a genuine passion for working in teams and delivering first-class service, the incumbent must possess the following to be successful in this role.

• 5 years of relevant experience in financial services
• Post-secondary education in a related field
• Strong understanding of regulatory requirements for mutual fund dealers
• Excellent leadership and management abilities
• Ability to analyze complex compliance issues and provide effective solutions
• Strong communication and interpersonal skills
• Detail-oriented with strong organizational capabilities
• Ability to work under pressure and meet deadlines
• Proficiency in compliance software and tools
• In-depth knowledge of mutual fund regulations
• Experience in compliance and supervisory roles
• Strong analytical and problem-solving skills
• Effective presentation skills
• Ability to lead and motivate a team
• Proficiency in Microsoft Office Suit