Compliance Manager advising Affirm’s consumer card program on U.S. financial regulations. Reviewing card products, marketing, disputes, and remediation for compliant growth.
About the role
- Sun Life compliance director overseeing CIRO trade supervision and risk-based monitoring across mutual fund and securities businesses. Leading regulatory oversight, transformation, reporting, and a high-performing compliance team.
Responsibilities
- Design, execute, and continuously enhance a compliance monitoring and supervision program covering mutual fund and securities businesses
- Lead development and enhancement of the Tier 2 CIRO trade supervision program for mutual fund and investment dealer businesses
- Establish and refine a risk-based monitoring framework to identify advisor conduct risk, control deficiencies, and emerging regulatory issues
- Enhance supervision through automation and data-driven oversight
- Oversee Tier I supervision quality and effectiveness, identify gaps, provide independent challenge, and escalate material issues
- Define KPIs, reporting, and governance routines for supervisory activities and quarterly compliance and senior leadership reporting
- Identify, assess, and escalate systemic and non-systemic issues through monitoring, testing, investigations, and complaint reviews
- Ensure timely and sustainable remediation
- Advise stakeholders on regulatory trends, conduct risk, and escalation matters
- Lead compliance projects, transformation initiatives, and continuous improvement of supervision processes and tools
- Build and lead a high-performing supervision and monitoring team
- Represent the organization in industry working groups and regulatory consultations
- Support transformation of the broader compliance program, including technology and tool changes
Requirements
- 8+ years of progressive experience in regulatory compliance, risk management, governance, or supervision within financial services
- Post-secondary education in finance, business, law, or a related field preferred
- Relevant industry courses or certifications, such as Canadian Securities Course or IFSE Branch Manager’s Course, are an asset
- Risk-based mindset and proven critical skills
- Proven people leadership experience
- Strong knowledge of Canadian regulatory frameworks, including SRO rules, Securities Acts, OSFI guidelines, and CSA National Instruments
- Deep understanding of compliance management frameworks, risk assessment methodologies, and governance practices within financial services
- Ability to translate regulatory requirements into practical business controls, supervision standards, and risk mitigation strategies
- Strong analytical, problem-solving, and project management skills; comfortable working with data in a digital environment
- Excellent verbal and written communication and stakeholder management skills
- Ability to navigate a matrixed organization and operate effectively in a fast-paced, evolving regulatory environment
- Demonstrated ability to drive transformation using technology, automation, and continuous improvement
- Ability to lead and develop team members at various career stages
Benefits
- Hybrid work with flexibility to work from the office and virtually based on business, Client, and employee needs
- Incentive plans, with payments discretionary and subject to individual and company performance
- Accommodation support for persons with disabilities and alternative-format job postings
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