Senior Manager, Regulatory Supervision

What You’ll Be Doing

As the Manager, Regulatory Supervision, you will report to the Director, Sales Supervision and will be accountable for Tier 1 supervision within your designated branches. You will provide leadership, expertise, guidance, support and training to all branch staff regarding sales supervision, ensuring adherence to industry regulations and business ethics. You will recommend strategies to assist employees in reducing follow‑up on supervisory related queries.

Responsibilities

• Supervise new and existing investment advisors and assistants; oversee trading and account supervision for daily commission run review, universal market integrity rules review, monthly statement reviews, FATCA remediation reports and more.
• Review and approve new accounts and account updates.
• Manage the overall governance and compliance framework for the branch, supporting branch operational risk items.