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Lead Advisor, Compliance

3 months ago

Montreal, Quebec, Canada Laurentian Bank Full time
Seeing beyond numbers

TM
At Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive.

Today, we have over 3,000 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada and the United States.

We drive results by placing our customers first, making the better choice, acting courageously, and believing everyone belongs.

This role sits within Laurentian Bank.


The Regulatory Compliance Advisory team reports to the Chief Compliance Officer and provides compliance leadership throughout the organization, by ensuring healthy governance and oversight regarding the implementation of the Regulatory Compliance Management (RCM) Framework.


Responsibilities:


o Monitor and identify the regulatory changes to maintain knowledge of regulatory requirements which are applicable to the relevant LOB/Sector, deliver guidance to the LOB/Sectors in respect of such regulatory changes and provide credible challenge during the implementation of such regulatory changes (including those being implemented by initiative(s)).


o Acts as a liaison regarding the identification of issues or incidents arising in the relevant LOB/Sectors and monitoring the progress of any corrective actions and assesses the adequacy and timeliness of such corrective actions.


o Assist within regulatory inquiries and/or examination as well as any Internal Audit or RCM Monitoring & Testing impacting the relevant LOB/Sectors.


o Support and oversight over the development of processes and procedures within the LOB/Sector to identify, risk assess, communicate, effectively manage and mitigate regulatory compliance risk within the LOB/Sector and obtain oversight on the compliance on a day-to-day basis with the regulatory requirements applicable to such LOB/Sector.


o Provide quarterly reports to LOB / Sectors' Senior Management to clearly outline regulatory risks which the LOB / Sector is exposed, and the adequacy of key controls to manage those risks.

o Works collaboratively with stakeholders to formulate recommendations and recommend best practices to improve compliance procedures and work processes

o Applies broad industry knowledge and business acumen to drive ongoing regulatory compliance and advocate for operational efficiencies and simplification


o Collaborates closely with RCM Program team as an integrator in prioritized and strategic initiatives and in the performance of the Regulatory Compliance Risk Assessment and in the aggregation of data as required various regulatory compliance reports for management and regulatory authorities, including the quarterly consolidated Chief Compliance Officer report.

o Develops and maintains effective and collaborative working relationships with the Regulatory Compliance teams, the lines of business, Internal Audit, other risk, corporate functions, senior management and stakeholders;

Qualifications:

o University degree in a relevant field, combined with a minimum five years of relevant experience in Compliance or Risk Management within the banking industry

o Knowledge of key regulatory requirements for the financial service industry including Consumer Protection, Conduct, Prudential, AML, and Privacy and OSFI E-13 Regulatory Compliance Management guideline

o Ability and comfort in dealing with all levels of staff within the Bank, as well as with regulators

o Work experience involving multidisciplinary teams and executives

o Ability to handle opposing points of views, provide constructive and collaborative challenge and propose appropriate solutions

o Ability to work independently, with guidance in only the most complex situations, think critically and make decisions

o Excellent writing and spoken communication details

o Strong background in report writing and attention to detail

o Bilingualism*o Good working knowledge of Microsoft software (Word, Excel, and PowerPoint)

o Experience in preparing and drafting reports for management;
o Strong analytical and synthesis skills.

o Business-oriented collaborative leadership and stakeholder management skills.

o Able to work well under pressure and meet set deadlines; and

o Attention to detail in all areas of work.
- "Qualifications


Professional working proficiency in French and English languages required as position involves frequent written and oral communication on complex matterswith internal and external parties in both languages.

"

Additional Information:

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