Regional Compliance Officer

1 week ago

Toronto, Ontario, Canada Morningstar Full time

The Role:

DBRS is currently seeking an interim Regional Compliance Officer for Canada.

The Regional Compliance Officer - Canada, will be responsible for the implementation of the DBRS Morningstar Global Compliance Program within Canada.

This is a position based in our offices in Toronto and reports to the Global Chief Compliance Officer ("CCO").
This is a maternity leave coverage contract opportunity for 12 months.

Responsibilities:

Given the current market and regulatory environment, many rules and regulations have been enacted around the global. These rules and regulations continue to be updated.

This role will be part of the Global Compliance team - with other members working in Toronto, Chicago, New York, London, Frankfurt, Madrid and Mumbai.

The Regional Compliance Officer - Canada is responsible for ensuring the Firm's policies and procedures ensure compliance with the Canadian regulatory scheme and ensuring staff understand their responsibilities under the rules and regulations.


  • Responsible for the compliance program to meet the regulatory scheme enacted in Canada, and provide ongoing assurance of compliance with DBRS policies and procedures
  • Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews
  • Lead on the compliance component on the development of new business processes, and on changes to current business processes arising from changes to Canadian regulations
  • Implement standard procedures for the intake (including for anonymous reporting and complaints from third parties), investigation, escalation and reporting of potential compliance related incidents relating to DBRS to ensure that they are appropriately and consistently evaluated, investigated and resolved
  • Foster, and maintain, a good working relationship with the Ontario Securities Commission (OSC), compliance colleagues, members of other internal control functions and business management
  • Lead the preparation for, and conduct of, regulatory examinations
  • Draft any compliance reports required by Canadian regulatory authorities
  • Report on existing and emerging compliance issues and risks to the Boards and the CCO
  • Maintain records of any violation reports received, including details of any actions taken
  • Contribute to the ongoing development of the Compliance team by sharing best practices, knowledge, expertise and lessons learned on a regular basis
  • Assist with the development, maintenance and delivery of compliance materials and training
  • Assist with the continuous improvement of global compliance programs
  • Maintain compliance files and records
  • Implement and maintain policies and procedures for the general operation of the global compliance program within DBRS

Qualifications:

  • 8 years of experience in compliance / regulatory control processes developed in Internal Audit in the Financial Services, Accounting or Legal professions
  • Experience in leading and managing complex compliance projects
  • Experience in designing and implementing compliance / regulatory policies and procedures
  • Experience interacting with and responding to regulatory inquiries
  • Experience in providing advice to senior manager and board of directors
  • Highly developed interpersonal skills to build and maintain effective internal and external relationships
  • Experience managing compliance teams
  • Advanced communication skills (verbal and written) to report regulatory compliance information
  • Strong analytical and investigative skills and sound judgment
  • Understanding/experience of credit rating business would be an advantage
  • A bachelor's degree is required. A law degree is a plus.
R08_DBRSLtdCanada DBRS Limited - Canada Legal Entity

Morningstar's hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week.

We've found that we're at our best when we're purposely together on a regular basis, at least three days each week.

A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you'll have tools and resources to engage meaningfully with your global colleagues.

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