Manager, GCEC & VA SSI Supervision

Role overview

Supervision and compliance responsibilities

• Oversee daily centralized supervision activities for GCEC and Virtual Advice in line with policies, procedures, and service expectations.
• Review supervision quality and case submissions; provide feedback and coaching to support accurate, timely outcomes.
• Support oversight of KYC, T+1, complaints, registration activities, material changes, conflicts of interest, and mandatory training.
• Monitor reviews, deficiencies, exceptions, and reporting; document issues, track resolution, and follow up with partners.
• Analyze metrics, dashboards, and operational reports for trends and risks, and escalate concerns or recommendations.
• Guide SSI Supervision Officers and Branch Compliance Officers on requirements, exceptions, deficiencies, and escalated cases.
• Coordinate audit, compliance review, regulatory examination, testing, and remediation requests; gather documents and track actions.
• Improve supervision processes, controls, reporting, and workflows.
• Apply the Bank’s risk appetite and culture while maintaining controls for operational, compliance, AML/ATF, sanctions, and conduct risks.
• Develop and motivate the team through inclusive coaching, talent development, and succession planning.

Required qualifications

• Canadian mutual fund sales license and Mutual Fund Representative registration with applicable provincial securities regulators.
• Completion of the Branch Compliance Officer course or recognized equivalent, as required for BCO registration.
• At least two years of registered mutual fund sales experience under securities legislation, or two years of equivalent experience.
• Expert knowledge of mutual fund products and thorough knowledge of SSI procedures, CIRO and provincial securities requirements, relevant legislation, policies, and taxation regulations.
• Strong understanding of GCEC and Virtual Advice operations, risk management, business controls, compliance governance, and change management.