At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team.
The Senior Director leads advisory delivery for the Emerging Technologies practice, reporting to the VP, Practice Lead. The role turns regulatory change, dealer consolidation, risk program and regtech engagements into repeatable offers that pull through Broadridge platforms for Canadian banks, dealers, asset and wealth managers, insurers and credit unions.
Key Responsibilities
- Serve as the delivery owner for the practice's advisory engagements, with accountability for scoping, quality, margin, client satisfaction and alignment to Broadridge product and growth objectives.
- Partner with Sales, Account Management, Product and Business Strategy to qualify, size and shape new opportunities, including statements of work, fixed-fee pricing, staffing plans, delivery risk and product pull-through.
- Lead end-to-end regulatory and operating model engagements, including CIRO dealer consolidation and integration, from current-state assessment through target operating model, systems, policies and procedures, and people and roles.
- Direct regtech and emerging technology implementations, such as AML transaction monitoring, compliance surveillance, digital onboarding and AI-enabled workflows, ensuring business requirements, controls and procedures are production-ready at go-live.
- Design and stand up enterprise risk and compliance programs, including ERM, operational, model, third-party and technology risk frameworks, RCSA, risk appetite and internal controls, aligned to OSFI, CIRO, CSA and FINTRAC expectations.
- Oversee development of client-ready deliverables, including SOPs and job aids for current- and future-state processes, policy suites, training curricula and metrics frameworks with supporting data dictionaries.
- Represent the practice in client executive meetings, steering committees, regulatory readiness reviews and senior leadership forums, translating regulatory change into clear business impacts, decisions and roadmaps.
- Build reusable go-to-market assets, including deployment frameworks, master pitch decks, assessment toolkits and accelerators, with client identities removed so they scale across institutions.
- Lead and develop a team of directors, managers and consultants, setting staffing coverage, utilization targets, quality review standards, escalation protocols and delivery methodology.
- Own engagement performance against budget, milestones, utilization and client feedback, monitoring scope change, delivery risk and issue trends to drive timely corrective action.
- Lead root cause analysis and remediation for client issues, including regulatory findings, audit observations, control gaps and implementation challenges.
- Contribute to thought leadership and market presence through articles, webinars and industry events on topics such as regulatory hurdles in digital client acquisition, AI governance and dealer consolidation.
- Develop executive-ready reporting on pipeline, delivery health and practice performance, and support workforce planning, coaching and succession across the practice.
Requirements
- Bachelor's degree in Business, Commerce, Finance, Law, Information Systems or a related field, or equivalent practical experience.
- 12+ years of experience in financial services regulatory compliance, risk management, operations or management consulting.
- 5+ years of leadership experience managing consultants, managers or multidisciplinary delivery teams.
- Proven track record of leading complex client engagements end to end, from proposal through delivery and close-out, for Canadian financial institutions.
- Strong working knowledge of the Canadian regulatory landscape, including CIRO, CSA and provincial securities regulators, OSFI and FINTRAC.
- Demonstrated experience designing target operating models, policies and procedures, and control frameworks.
- Experience supporting business development, including proposals, statements of work, pricing and client presentations.
- Proven ability to communicate with senior executives and boards, and to translate regulatory and operational issues into clear business impacts and action plans.
- Strong organizational skills, with high attention to detail, documentation quality and process discipline.
- Ability to manage multiple concurrent engagements with appropriate urgency and oversight.
- Based in the Greater Toronto Area, with the ability to travel to client sites as required.
Preferred Qualifications
- MBA, or a professional designation such as CPA, CFA, CIPP, CAMS, PRM/FRM or PMP.
- Management consulting experience at a Big Four, boutique or regulatory advisory firm serving Canadian financial institutions.
- Direct experience with CIRO dealer operations, including middle office, back office and compliance.
- Hands-on involvement in AML/ATF program design or regtech rollouts, including transaction monitoring, STR processes and FINTRAC reporting.
- Working knowledge of OSFI guidelines such as E-21 (operational resilience), E-23 (model risk), B-10 (third-party risk) and B-13 (technology and cyber risk).
- Experience designing training programs or learning content for risk, compliance or first-line audiences, including digital or AI-assisted formats.
- Familiarity with frameworks such as COSO ERM, the Three Lines Model, Lean or Six Sigma.
- Exposure to AI, automation, digital onboarding or data platforms in a regulated environment, and to the governance that comes with them.
- Experience working inside a product or technology platform, connecting advisory work to software implementations.
- Published thought leadership or conference speaking in wealth, capital markets or regulatory topics.
Skills/Competencies
- Trusted-advisor presence with C-suite, Chief Compliance Officer and Chief Risk Officer audiences
- Deep regulatory fluency across Canadian securities, banking, insurance and AML regimes
- Ability to translate regulation into operating models, controls, procedures and system requirements
- Commercial acumen in scoping, pricing, proposals and growing accounts
- Structured problem solving and hypothesis-driven analysis
- Ability to package bespoke work into repeatable frameworks and offers
- Strong people leadership, coaching and talent development
- Program and engagement management across multiple concurrent clients
- Executive-level writing, storytelling and presentation design
- Curiosity about emerging technology and pragmatic judgment on where it fits
- Collaborative across product, technology, sales and client teams
- Sound judgment under pressure, including regulatory deadlines and client escalations
- Disciplined documentation and attention to detail
- High standards for integrity, confidentiality and client data protection
Recruitment Process
Throughout the application process, you will be required to attend interviews in person. Our recruiters will explain the interview process at each stage and answer any questions you may have.
Compensation
- Salary Range: $130,000 - $165,000 CAD. Compensation may vary depending on a number of factors, including a candidate’s qualifications, skills, competencies and experience, and location. Base pay is one part of the Total Package that is provided to compensate and recognize employees for their work, and this role may be eligible for additional discretionary bonuses/incentives, and restricted stock units.
- Bonus Eligible Position
- Benefits: Medical, dental, life and vision insurance. RRSP program with company match, paid parental leave, competitive vacation days and more. Medical insurance starts immediately upon hire.
Vacancy Disclosure
This posting is for an existing and currently open position within Broadridge.
Background Check Process
Broadridge requires employees to complete a background check that is completed by one of our service providers. We use this service to complete the following checks:
- Employment verification
- Education verification
- Credit inquiry
- Canadian criminal record check
Workplace Flexibility
We are committed to supporting flexible work arrangements, investing in technology or other resources to enable you to work from home effectively, wherever possible.
At this time this is a hybrid role, and therefore you should have a basic home office set up, high-speed internet, and the ability to work without distractions during core business hours.
Accessibility & Accommodation
Broadridge is an equal opportunity employer and is committed to a diverse and inclusive workplace ensuring that equal employment opportunities are provided to all individuals, regardless of race, colour, gender identity, sexual orientation, marital status, creed, age, disability, religious affiliation, or national origin or citizenship. If you require any accommodations during the recruitment process, please notify our recruitment team.
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We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates do their best when they feel safe, understood, and valued, and we work diligently and collaboratively to ensure Broadridge is a company—and ultimately a community—that recognizes and celebrates everyone’s unique perspective.
Use of AI in Hiring
As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency are critical to our hiring process. Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.
