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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates strong analytical and problem-solving skills while leading and mentoring teams in a high-performance culture. Possesses extensive knowledge of regulatory requirements and risk management within the financial services sector.
Highest-signal resume keywords
Risk ManagementRegulatory ComplianceAnalytical SkillsTeam LeadershipFinancial Services Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk-Based TestingGap AnalysisTesting MethodologyInvestment Dealer ProductsUMIR RegulationsCIRO KnowledgeCSA Regulatory RequirementsPlanning and CoordinationOversight ProceduresContinuous Improvement
Soft Skills
Excellent Communication SkillsGood JudgementInitiativeOrganizational SkillsProblem-Solving Skills
Tools & Technologies
Resolver
Certifications & Qualifications
CIMCFACAMSCPA/CA
Industry Keywords
Financial ServicesWealth ProductsOSFI-Regulated EnvironmentThree Lines of Defense ModelBilingual French and English
About the role
Key responsibilities & impact- Lead, mentor and develop the analyst team while promoting a collaborative, high-performance culture
- Develop annual review plans and schedules
- Support planning and coordination of 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
- Evaluate oversight procedures and testing programs
- Perform gap analysis to support continuous improvement, standardization and operational excellence
- Identify, communicate and escalate issues as appropriate
- Ensure corrective action plans are completed on time
- Track and report identified issues and remediation status
- Review Branch Oversight program outcomes for trends and risk-management opportunities
- Manage concurrent projects and initiatives with stakeholders while balancing competing priorities and timelines
- Work closely with the Branch Oversight Review team and Branch Oversight Analysts to identify trends and areas of risk
Requirements
What you’ll need- High degree of integrity and ethics; good judgement
- Excellent communication skills, including presenting to large groups, senior leadership, internal examination teams, advisors and external regulators
- 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
- 5+ years of progressive experience within the financial services sector with wealth products
- At least 2 years of relevant experience working for an investment or mutual fund dealer
- Experience working in an OSFI-regulated environment, aligned with the three lines of defense model
- Knowledge of CIRO and CSA regulatory requirements
- Ability to translate legislation and regulations into business impacts, compliance elements and regulatory risks
- Must be able to be registered with a securities dealer upon hire
- Working knowledge of investment dealer products and UMIR regulations
- Recognized professional financial designation (e.g. CIM, CFA, CAMs, CPA/CA, etc.) is an asset
- Bilingual French and English, oral and written, required for Quebec-based candidates
Benefits
Comp & perks- A friendly, collaborative and inclusive culture
- A collaborative and interactive team environment
- Digital experience development opportunities
- Working together, sharing common values and encouraging growth and achievement
- Reputable organization with over 150 years of history
- Certified Great Place to Work in Canada in 2026
- Hybrid work choice and flexibility to work from both the office and virtually
- Incentive plans for eligible employees, with payment discretionary and subject to individual and company performance