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Vice President, Compliance Advisory

2 months ago

Toronto, Canada ThorekScott and Partners Full time

Your Partners in Recruitment

Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our Canadian and International clients include: global banks and non-bank financial institutions, private equity and investment funds, professional service firms, and entrepreneurial businesses in a variety of industries. We value the human connection and distinguish ourselves through an unwavering dedication to understanding the goals and motivations of our clients and candidates alike.


This open role is currently being featured by Thorek/Scott and Partners We highlight a variety of open roles every week. If you save this position to apply to later, it may appear closed when you revisit it. For a full list of all open positions, please visit www.thorekscott.com.


Our Client

Our client is the Canadian Branch of a full stack global bank. The group has more than 130 offices spread across 40 countries worldwide.The North American division offers a range of commercial and investment banking services to its corporate and institutional clients. We have partnered with the bank to work on a net new role, Vice President, Compliance Advisory.


Position Overview

The Vice President will report to the Director, Regulatory Compliance and will work closely with the other Compliance team members with respect to regulatory change management and execution of the Bank’s compliance risk management program.


The Vice President will act as a regulatory specialist and compliance advisor with respect to key Canadian regulations such as the Canadian Bank Act, OSFI Guidelines, Privacy Act, and AML legislation. This will include researching & analyzing legal and regulatory topics to assist with the Bank’s responses to regulatory changes and/or to support ongoing compliance risk management and to develop strategies to respond to evolving regulatory expectations.


Role Responsibilities

  • Providing Advisory counseling: VP will be responsible for providing subject matter expert support and advice to Canada Branch with respect to topics such as Bank Act, Privacy, OSFI Guidelines, conflicts of interest, confidential information, sales conduct, and other regulatory requirements and related compliance policies. VP will also be responsible to provide effective challenge and advisory support with respect to new products and business initiatives.
  • Supporting RCM (regulatory change management) Design & Execution: VP will lead the execution of Program related activities, including: Monitoring and responding to regulatory changes; Maintaining compliance regulations and controls libraries; Coordinating the execution of regulatory compliance risk assessments; Managing compliance issues; Preparing periodic (annual, quarterly, monthly) Program related reporting
  • Leading Compliance Projects: VP will design and execute various corporate compliance projects and Action Plans to remediate any compliance issues owned by Corporate Compliance Dept.
  • Policy & Procedures Management: VP will be responsible for overseeing the management of compliance related policies and procedures on behalf of Canada Branch, including acting as liaison with central policy management team and coordinating Canada Branch policy management activities.
  • Data Governance: VP will be responsible for overseeing and supporting key elements of compliance data governance at Canada Branch, including managing inventory of Corporate Compliance end-user computing assets, managing compliance metadata, and reporting database and supporting continuous improvement activities related to compliance data governance.
  • Corporate Compliance Administration: VP may assist with a variety of ongoing compliance administrative procedures including regulatory filings and registrations (e.g., OSFI, FCAC), completion of required provincial/business/corporate registrations, and compliance committee activities, including scheduling, agenda management and minutes preparation.


Desired Qualifications

  • Undergraduate degree in Finance or Commerce.
  • Bachelor of Laws (LLB) or Juris Doctor (JD) from a recognized Canadian law school, called to the Bar of Ontario, in good standing to practice law in Canada (Preferred but not mandatory) * If this applies to you, then two (2) years of progressive experience in a leading Canadian law firm, or as in-house counsel for a federally regulated financial institution is what we’re looking for.
  • Overall, a minimum of three (3) years of Compliance experience in an OSFI or Securities regulated firm is required.
  • Knowledge and experience in the operation of an international financial institution
  • Experience in drafting regulatory analysis, policy, and procedures



Please note that at present, legal eligibility to work in Canada is a prerequisite for this role.


This open role is currently being featured by Thorek/Scott and Partners We highlight a variety of open roles every week. If you save this position to apply to later, it may appear closed when you revisit it. For a full list of all open positions, please visit www.thorekscott.com.



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We appreciate your interest in this role.


In sharing your resume, you place your trust in us to treat you with integrity and respect and act in your best interests. All resumes will be held in the strictest of confidence. Those who most closely meet our client’s requirements will be contacted for an interview.


Please pass this opportunity forward. We welcome all referrals should someone in your network benefit from this opportunity.