Senior Manager, Regulatory Compliance Management Office

6 days ago

Toronto ON, Canada EQ Bank | Equitable Bank Full time

Being a traditional bank just isn’t our thing. We are big believers in innovating the banking experience because we believe Canadians deserve better options, and we challenge ourselves and our teams to creatively transform what’s possible in banking. Our team is made up of inquisitive and agile minds that find smarter ways of doing things. Overall we serve more than 670,000 people across Canada through Equitable Bank, Canada's Challenger Bank™, and have been around for more than 50 years. Equitable Bank's wholly-owned subsidiary, Concentra Bank, supports credit unions across Canada that serve more than six million members. Together we have over $125 billion in combined assets under management and administration, with a clear mandate to drive change in Canadian banking to enrich people's lives. Our customers have named our EQ Bank digital platform (eqbank.Ca) one of the top banks in Canada on the Forbes World's Best Banks list since 2021.
The Senior Manager, Canadian Banking Compliance is the subject matter expert in business and market conduct regulatory compliance requirements applicable to Equitable Bank and Equitable Trust’s mortgage and home equity lines of credit, registered deposit products, reverse mortgages, insurance lending, commercial lending, and consumer lending products. The individual is responsible for providing advisory on existing and new products and services, and oversight and challenge on regulatory compliance management program activities.
This position reports to the Senior Director, Deputy Chief Compliance Officer.
The incumbent will exercise a significant degree of managerial and technical latitude in the performance of his/her duties.
Canadian Banking Compliance (60%)
Deliver day to day compliance advisory for business and market conduct regulatory compliance requirements applicable to Equitable Bank and Equitable Trust’s mortgage and home equity lines of credit, registered deposit products, reverse mortgages, insurance lending, commercial lending, and consumer lending products
Collaborate with stakeholders across financial and operational risk to assess the risks of new and material changes to products and services, processes or systems through the New Initiative Risk Assessment. Identify compliance risks and provide recommendations for mitigating controls.
Develop, maintain and regularly review and compliance policies to communicate internal requirements related to compliance with business and market conduct requirements. Work with cross-functional stakeholders to ensure policies are tailored to business units.
Regularly review customer facing documents and information to ensure Equitable Bank and Equitable Trust and its subsidiaries and affiliates (the “Bank”) are compliant with all market and business conduct requirements including the Bank Act, FCAC Guidelines, CDIC, FATCA/CRS and unclaimed property
Review and provide feedback on marketing collateral from a regulatory compliance standpoint.
Identify compliance gaps and work closely with the business to address those gaps in a timely manner in accordance with Equitable Bank’s Regulatory Compliance Management program.
Work collaboratively with Business Unit business to ensure their processes appropriately reflect existing and new or changed regulatory requirements
Contribute to regular compliance reporting to senior management and the board including the quarter Chief Compliance Officer opinion.
Monitor and evaluate emerging legislation, as well as industry trends and developments as they relate to regulatory consumer issues and work with the Regulatory Compliance Management and business teams to follow regulatory change protocols where required
Develop, deliver, and track all Compliance training, awareness, and communication
Evaluate potential compliance issues to determine whether they are reportable. Work closely with Internal Audit and collaborate with compliance colleagues on external regulatory compliance reviews and examinations. Regulatory Compliance Management (30%)
Responsible for 2nd LOD oversight of RCM program related to market and business conduct requirements including compliance risk and control assessments, issues management, and quarterly reporting
Other / Projects (10%)
Lead or participate in other projects as required related to market and business conduct requirements for areas of coverage, or the Bank’s RCM program.
MBA or law degree preferred
Minimum of 5 years compliance-related experience in federally regulated Schedule I bank
Knowledge of consumer and commercial lending and deposit products
Experience with Bank Act, FCAC Guideline and Trust and Loan Companies Act including expectations and best practices
Experience drafting or participating in updates to policies and procedures
Well organized, detail-oriented self-starter, comfortable functioning in a complex environment, managing multiple priorities within deadlines, and able to collaborate with various internal and external stakeholders.
Must be able to establish and maintain rapport with internal and external partners, regulators, auditors, management, and employees.
What we offer [For full-time permanent roles]
#Medical, dental, vision, life, and disability benefits
#Generous vacation policy and personal days
#Virtual events to connect with your fellow colleagues
#A fulfilling opportunity to join one of the top FinTechs and help create a new kind of banking experience
The incumbent will be working hybrid and in office time will be spent working from Equitable Bank’s additional office space located at 351 King Street East, Toronto, ON.
Equitable Bank is deeply committed to inclusion.

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