Job Description:

The Business Governance & Controls (BG&C) team is responsible for first line oversight within the Canadian Retail Advice and Solutions (RAS) business and works closely with advisors and field leaders to help advisors build and maintain compliant business practices, meet evolving regulatory expectations, all while putting the Client’s interests and experience first.

Reporting to the Director, Branch Oversight and Quality Assurance, the Branch Oversight Manager is part of a team which is comprised of an independent Branch Oversight Review team and a Branch Oversight Analyst team. In this role, the successful candidate will be responsible for working closely with the Branch Oversight Review team and the Branch Oversight Analysts to identify trends and areas of risk.

What you will do:

• Lead, mentor and develop the analyst team while promoting a collaborative, high-performance culture focused on operational excellence and continuous improvement.

• Develop annual review plans and schedules

• Support in planning and coordinating branch oversight reviews for all Registered locations.

• Conduct and review, risk-based testing to identify trends and training opportunities

• Conduct and approve planning, scoping and sampling activities within Resolver

• Assist in the evaluation of oversight procedures and testing programs, performing gap analysis to support continuous improvement, standardization, and operational excellence.

• Identify, communicate and escalate issues as appropriate, including ensuring that corrective action plans are completed on time

• Track and report on identified issues and the remediation status

• Review the Branch Oversight program outcomes for trends and opportunities for improvement of risk management and program effectiveness

•  Manage concurrent projects and initiatives that may involve collaborating with stakeholders, while balancing competing priorities and timelines.

Preferred skills:

• High degree of integrity and ethics; good judgement

• Excellent communication skills, with comfort presenting to large groups as well as different audiences, including senior leadership, internal examination teams, advisors and external regulators

• Work consistently with initiative, urgency and purpose

• Ability to take ownership and work independently

• Strong analytical, organizational and problem-solving skills

• Excellent knowledge of risks, controls and testing methodology.

• University degree and 5+ years of progressive experience within the financial services sector with wealth products; at least 2 years relevant experience working for an investment or a mutual fund dealer.

• Experience working in an OSFI-regulated environment, with alignment to three lines of defense model

• Knowledgeable on CIRO and CSA regulatory requirements.

• Ability to translate legislation and regulations into business impacts, compliance elements and regulatory risks.

• The successful candidate must be able to be registered with a securities dealer, upon hire.

• Working knowledge of Investment dealer products and UMIR regulations.

• A recognized professional financial designation (e.g. CIM, CFA, CAMs, CPA/CA, etc.) is an asset

• As this position is posted in several locations, we specify that bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English and French-speaking colleagues or internal partners across Canada or worldwide.

Salary Range:

80,000/80 000 - 128,000/128 000

Job Category:

Compliance

Posting End Date:

02/10/2026