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Compliance Manager

3 months ago

Langley, Canada First West Credit Union Full time
We are currently seeking a Compliance Manager to join our team.


The Compliance Manager provides expert advice and guidance regarding Banking Laws, Rules, and Regulations necessary to support the development of new products, services, initiatives, systems and technologies.

This role facilitates business units navigating regulatory changes and ensures operational process and procedures adhere to regulatory obligations.

Functioning as an independent and objective second line of defense, the Compliance Manager provides oversight and challenge over first line of defense compliance operations, reviews and evaluates compliance issues within the organization and provides expertise and direction to correct non-compliance with regulatory requirements.

This position collaborates and interacts with leadership and key stakeholders at all levels throughout the Credit Union, providing expert consultation in the field of Compliance.


Here's what would be included as a part of your typical day
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Regulatory Advice:Provides First West with thought leadership, expert advice and recommendations on Banking laws, rules and regulatory expectations including interpretation of complex regulatory requirements applicable to First West's operations (including The Bank Act, FCAC, FATCA & OSFI Regulations and Guidelines). Analyzes industry trends to support the development and maintenance of compliance policies and procedures to meet changing regulatory requirements. Develops strong relationships and acts as an effective partner to support achievement of business goals.
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Oversight & Challenge:Provides oversight and challenge to the First Line of Defense on the design and development of controls and processes for identifying, assessing, mitigating, and monitoring regulatory compliance risk. Monitors compliance reports and escalates breaches & regulatory risks to ensure timely resolution. Facilitates the development and maintenance of compliance KRI's/KPI's as well as overseeing closure and remediation of compliance issues. Prepares reporting to inform, the CCO, Executive Risk Committee and the Board on Regulatory Compliance risks.
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Regulatory Impact Assessments: Partners with business units to facilitate completion of Impact Assessments for new products, services, initiatives & technologies to ensure all applicable regulatory obligations have been identified and adequate controls implemented prior to launch. Ensures recommendations comply with all applicable Laws, Rules & Regulations while considering operational impacts and member experience.
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Regulatory Research: conducts research and analysis of banking laws, and regulations and maintains continuing professional development and knowledge of industry compliance best practices (including, Bank Act, FCAC, FATCA/CRS, OSFI) to ensure First West remains current with the evolving regulatory environment.
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Education & Training: Provides education, training and awareness on applicable regulatory obligations to build a compliance culture at all levels across the organization and builds accountability of regulatory risk and ownership at the business unit level in line with the 3 lines of defense model. Develops and facilitates education and training to management and staff on regulatory compliance processes, tools and concepts.
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Regulatory Engagement:Supports the VP, Compliance maintain effective working relationships with applicable regulatory bodies; (FCAC, OPC, OSFI & CRA) during regulatory examinations, request for information and regulatory reporting including Reportable Compliance Issues (RCI's).

Required Skills, Experience & Qualifications

  • Bachelor's degree in Law, Audit, Risk or equivalent combination of education/experience required
  • 5+ years of experience in regulatory compliance, legal or related field required
  • Compliance, governance, Audit or risk management designation is an asset
  • Expertise of regulatory and legislative environment for Federally Regulated Financial Institutions (For Schedule I Bank or Federal Credit Union) including The Bank Act, FCAC, FATCA & OSFI Regulations and Guidelines is required
  • Previous experience working in the compliance function within a Bank or Federally Regulated Credit Union is preferred
  • Strong communication skills with the ability to influence and collaborate effectively with a wide range of stakeholders
  • Ability to analyze, interpret and communicate complex legislative and regulatory requirements
  • Sound judgement with an ability to develop strategic and innovative recommendations that meet regulatory obligations as well as operational needs
  • High degree of professional and ethical standards and integrity
  • Excellent written and verbal communication skills, with strong attention to detail
  • Strong understanding of consumer protection laws under the Bank Act and FCAC regulations impacting Federal Credit Unions and Banks.
  • Strong knowledge of financial products and services
  • Displays an