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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in retail suitability and sales practices compliance, with a strong understanding of regulatory requirements in Canada. Proficient in conducting surveillance activities and managing risk within the Wealth Management sector.
Highest-signal resume keywords
Retail Suitability ComplianceSales Practices Regulatory RequirementsWealth Management KnowledgeUAT Testing ExperienceProblem-Solving Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Post Trade SurveillanceRisk IdentificationRegulatory ComplianceBranch SupervisionSurveillance ActivitiesAnalytical SkillsCritical ThinkingManagement ReportingProcedure DevelopmentSurveillance Statistics
Soft Skills
Strong Written CommunicationStrong Verbal CommunicationAbility to Thrive Amid ChangeAnalytical ThinkingProblem-Solving
Tools & Technologies
Surveillance SystemsAI ToolsEmerging Technologies
Certifications & Qualifications
University DegreeCSCCPHTrader Training Course
Industry Keywords
Financial InstitutionRegulated Securities DealerSecurities Regulatory BodyNational Instrument 31-103CIRO Investment Dealer
About the role
Key responsibilities & impact- Conduct routine reviews of post trade surveillance alerts generated by surveillance systems to detect potential retail suitability and sales practices concern; to ensure compliance with company policies and applicable regulations (i.e. CIRO)
- Manage the escalation and resolution of items that may present concerns
- Identify potential areas of risk (financial, reputational, and regulatory), advise senior management of potential issues as they arise, make recommendations with regards to potential courses of action.
- Assist surveillance management team to continue enhancing and optimizing retail surveillance scenarios and framework.
- Partner with Global Surveillance Strategy team to develop retail S&SP surveillance scenario and conduct UAT testing prior production release.
- Assist Associate Director in developing and maintaining up-to-date procedures, as well as compiling and surveillance statistics for periodic management reporting and oversights.
- Assist in other specific projects and targeted reviews as assigned.
Requirements
What you’ll need- Minimum 5 years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body.
- Experience in conducting Tier 1 branch supervision or Tier 2 surveillance activities or compliance role in Wealth Management space.
- Strong understanding of retail suitability and sales practices regulatory requirements in Canada eg. CIRO Investment Dealer and Partially Consolidated Rules; National Instrument 31-103 (NI 31-103)
- Good knowledge of Wealth Management products, account types and operations procedures.
- Strong written and verbal communication skills.
- Strong problem-solving, analytical, and critical thinking skills.
- Ability to thrive amid rapid change and competing priorities with tight deadline.
- University degree CSC, CPH and/or Trader Training Course
- Nice-to-have: Experience in UAT (user acceptance testing) to test system release; especially in surveillance scenarios development.
- Demonstrated comfort with AI tools and emerging technologies.
Benefits
Comp & perks- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in an agile, collaborative, progressive, and high-performing team
- The opportunity to interface with senior level executives from many different parts of the organization