Vice President, Regulatory Supervision, National Sales

Position Overview
Primary accountability for this role is to provide senior leadership and oversight for branch compliance at a national level. Working in conjunction with both National and Regional objectives, this leadership role along with a team of Wealth Compliance Advisors (WCA), leads branches, advisors and their teams in managing practice-risk, ensuring regulatory adherence through effective processes, and managing escalations as it pertains to advisor risk and compliance, change management and general branch culture.

Duties and Responsibilities
•    Leading a team of WCAs in managing a national level of consistent regulatory compliance across the network including performance management, coaching, training and mentorship
•    Provides leadership and guidance to support regulatory change for all branches working closely with Branch Managers including delegations and escalations raised through the network
•    This position works closely with Compliance and particularly the VP Regulatory Change in the creation and implementation of policies and processes around regulatory change
•    Will deliver a consistent and practical level of regulatory supervision at a national level
•    Actively lead and participate as a change agent for corporate initiatives, as well as changes to the regulatory landscape representing interest of branches
•    Provide leadership guidance to WCAs and branch management in the readiness in preparation for and remediation for internal and regulatory audits
•    Lead and evolve a National operating model that provides oversight and accountable for effective execution of branch compliance including but not limited to review & approval of new account documentation, account administration, Marketing approvals, trading approvals as applicable, Registrant oversight, and Sub- branch / remote location supervision (if applicable)
•    Nurture a culture of compliance and enforce the implementation of company policies, programs and processes to ensure better team and client experience through effective change management
•    Support governance framework for conflicts of interest as it relates to employees, referrals, compensation etc. across the enterprise including escalations
•    Provides guidance and support to Advisors regarding compliance policies and procedures, including effectively communicating requirements and ensuring the efficacy of the program
•    Responsible for maintaining an ongoing, in-depth understanding of compliance requirements for the industry
•    Contribute to the curriculum and delivery of regulatory related changes and related educational issues and knowledge across the advisor team network
•    Effectively communicate with Senior Management as it relates to regulatory concerns under their purview
•    Supports a collaborative and positive branch culture where team opinion/feedback are valued and considered

Qualifications
•    Minimum 15 years’ experience in a full-service brokerage environment including supervision
•    Demonstrated experience coaching and helping Advisors with compliance matters
•    Strong organizational skills
•    Excellent communication skills
•    Positive attitude and ability to work with various personality types
•    Leadership and initiative
•    Analytical skills
•    Solution-oriented
•    Ability to work in a fast-paced environment and meet deadlines
•    Knowledge of Dataphile, Thomson One, Maximizer CRM are an asset

Education
•    University or College degree
•    Licensed as a Registered Representative (RR) with CIRO
•    Licensed as Options Supervisor with CIRO