Compliance Manager

4 weeks ago

Montréal QC, Canada The Emerald Group Full time

To support the Head of Compliance in ensuring that the Society and related entities conform with regulatory requirements and internal policies.

  • Location: WFH
  • Category: Compliance
  • Type: Permanent

Key duties (including, but not limited to):

  • To support the Head of Compliance in ensuring that the Society has in place, and adheres to, appropriate systems and controls relevant to its business, its regulatory activities and activities ancillary to those regulatory activities in order to comply with all relevant laws, regulations, rules and best practices
  • To work with the Head of Compliance and the wider Society to identify, assess, manage, monitor and report on compliance risk exposures
  • To take the lead on identifying, assessing and communicating the occurrence and impact of regulatory and legislative change and, where called upon, support the business with implementing systems and controls to comply with that change
  • To take the lead on relevant aspects of the SM&CR, including (but not limited to) the maintenance of SoR’s and the Society’s responsibilities map, undertaking fitness and propriety checks and submitting SMF & CF applications to the applicable regulator
  • To work with the Head of Compliance and Chief Risk Officer to support the Executives in the overall reporting to the Audit and Compliance Committee, the Board and, where required, any other committee of the Board, on compliance matters
  • To take the lead on Compliance-owned regulatory reporting obligations and otherwise support the business in meeting its regulatory reporting requirements
  • To be the primary point of contact on Compliance matters and provide support to the Society’s Member Services department, with respect to general queries, complaints handling and vulnerable customers
  • To provide compliance support and sign-off of relevant communications, literature and financial promotions as required
  • Desirable: Achieved or working towards a relevant compliance-related qualification from an appropriate accredited body, i.e. the CII or CISI
  • Demonstrable breadth of Compliance experience and understanding of FCA and PRA requirements within Insurance or similar Financial Services
  • Knowledge and understanding of the regulatory obligations of the Society including obligations arising from general and sector specific regulation, anti-money laundering regulation and data protection law
  • Ability and experience of interpreting legal or regulatory requirements and embedding Compliance requirements
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