ScotiaMcLeod - Director and Head, Business Controls & Oversight, CWMIA
About The Position
ScotiaMcLeod is seeking a senior leader to join Canadian Wealth Management Investment Advisory as Director and Head, ScotiaMcLeod Business Controls & Oversight, CWMIA. This high-impact role provides strategic direction, leadership, and oversight for risk, supervision, and business controls across a national wealth advisory business. Reporting to the VP, Business Controls and Oversight, CWM Investment Advisory, you will lead the ScotiaMcLeod supervision team and oversee the effectiveness of controls supporting approximately 1,400 registrants across 91 branches and growing. You will partner closely with senior leaders, compliance, legal, regulatory, internal controls, and advisory stakeholders to help embed risk appetite, governance, and compliant business practices into day-to-day operations.
Requirements
- 5+ years of experience leading first-line supervision within financial services, ideally in wealth advisory, brokerage, or investment dealer environments.
- Deep understanding of securities regulations, risk management, compliance, operational risk, AML/ATF, conduct risk, and wealth advisory governance.
- Experience working with regulators and managing regulatory inquiries, examinations, findings, commitments, or remediation activities.
- Strong strategic influencing skills with the ability to engage senior stakeholders and embed risk appetite into business practices.
- Proven people leadership experience, including building inclusive, high-performing teams and developing future talent.
Nice To Haves
- Post-graduate business degree, CFA, or equivalent experience would be considered an asset.
Responsibilities
- Lead and oversee the ScotiaMcLeod supervision team, including deployment of changes and monitoring of control effectiveness across branches and registrants.
- Identify control gaps, regulatory trends, red flags, and recurring themes to proactively reduce risk and improve business effectiveness.
- Drive the implementation of risk frameworks, governance standards, and preventative controls across ScotiaMcLeod.
- Support regulatory issues, compliance findings, examinations, commitments, internal investigations, and client remediation matters.
- Partner with internal controls, compliance, legal, regulatory, investment advisory, and Global Wealth Management teams to ensure consistent standards and requirements.
- Build and lead a high-performance team by fostering inclusion, developing talent, and supporting succession planning.
Benefits
- Competitive Compensation and Benefits package including annual incentive plans
- time off entitlements
- Pension Plan
- Employee Share Ownership Plan
- favourable employee rates for employee banking
- free access to Scotia Academy to upskill and develop your skills.
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
