Compliance Manager
4 days ago
Description:The Senior Country Compliance and Operational Risk Manager is responsible for ensuring the identification, escalation and timely mitigation of compliance and operational risks in the country in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs).The Senior Country C&OR Manager ensures that any inquiries and exams by regulators in the country are appropriately managed by the relevant Compliance & Operational Risk Officers. The Senior Country C&OR Manager escalates any key issues to the appropriate level of management.Responsibilities for this role also include ensuring consistent quality of activities, processes and outputs by establishing effective review practices across teams.Responsibilities:Conduct C&OR risk assessments in the country and contribute to the risk assessment for the region, incorporating review of external loss events to assess control effectivenessCountry C&OR reporting, identifying and aggregating compliance and operational risks/issues for the countryIdentify, collect, validate and record internal loss events and “near misses”. Perform root cause analyses on internal loss events and develop remediation plans to strengthen controlsIdentify, review and document relevant external loss eventsContribute to Scenario Analyses to provide a forward-looking estimate of hypothetical operational lossesCreation of C&OR risk training coverage plans to address local needs.C&OR risk monitoring occurring in the countryEvaluation of internal audit results, regulator identified issues, monitoring & testing (“M&T”) results and advising on remediation required in countryEnsuring Compliance and Operational Risk “owned” issues (i.e., Internal Audit, Regulator and Self-Identified issues) are addressed appropriately and timely.Contribution to the development of C&OR monitoring & testing plans.Execute governance and management routinesOversight of changes in local and regional regulation, including advising on those changes and directing the appropriate areas to implement or amend policies and procedures/processes to address change in regulationsC&OR related projects and other duties as assignedQualificationsA minimum of 10 years compliance experience with full-service investment dealer.Strong understanding of Canadian regulatory environment, including CIRO Rules, National Instruments, and UMIR.University degree or equivalentProven track record in managing compliance programs and leading teams, with at least 2-5 years in a supervisory role.Experience with listed and over-the-counter securities and derivatives trading and/or operationsWorking experience in a foreign bank branch is a plusSelf-motivated, team-orientated professionalExcellent written and verbal communication and analytical skillsExperience writing compliance policies, procedures or guidelines
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Customer Success Manager
2 weeks ago
Toronto, Canada Contractor Compliance Full time**About Us** At Contractor Compliance we believe in **DIFFERENTIATION**. We approach our industry differently, we treat our customers differently, and most importantly we treat our team differently. Contractor Compliance is a SaaS solution provider that helps organizations simplify their contractor management process. Nobody wants to spend their days...
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Account Executive
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Toronto, Canada Contractor Compliance Full timeAs an Account Executive, you'll be responsible for the growth of our amazing customer base. You'll own the entire sales process and develop your skills across the entire spectrum of a SaaS sale. In partnership with our Marketing team (complimented by your own efforts in your defined territory) you will be qualifying leads, managing the opportunity cycle by...
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Compliance Manager, Regulatory Compliance
2 days ago
Toronto, Canada Manulife Full timeThe Compliance Manager, Regulatory Compliance is responsible for supporting the effective operation of Manulife Bank’s regulatory compliance management program, including the maintenance of all relevant regulatory compliance management records, risk and control assessments, evidence of controls, compliance issues and associated corrective action plans. The...
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Manager, Compliance
4 days ago
Toronto, Canada OPTrust Full timeManager, Compliance Department: Risk, Actuarial Services, and Plan Policy Type: Permanent Location: Toronto (Hybrid) Posting Date: November 28, 2024 At OPTrust, _paying pensions today, preserving pensions for tomorrow_ is our mission and business. When you choose OPTrust, you join a team of smart, talented people who fuel our success and have a passion...
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Manager, Compliance
4 days ago
Toronto, Canada Brewin Dolphin Full time**Job Summary** **What is the opportunity?** To provide compliance support and advice to the Wealth Management Canada business, primarily RBC Royal Trust, RBC Phillips, Hager & North Investment Counsel and RBC Private Counsel USA including conducting compliance monitoring, responding to inquiries from the branch network, reviewing marketing and...
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Compliance Manager
4 days ago
Toronto, Canada Manulife Full time**_Are you looking for a supportive, collaborative workplace with great teams and inspiring leaders? You’ve come to the right place. We’re looking for ambitious people who share our values and want to make every day better for people around the world. If this sounds like you, and the career below sounds exciting, we’d like to hear from you....
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Manager, Compliance
2 days ago
Toronto, Canada CI Financial Full time**ABOUT US** CI Global Asset Management is one of the country’s largest investment fund companies. CI is known for its innovation and ability to adapt quickly to the changing needs of Canadian investors. It provides employees with a fast-paced and challenging work environment with opportunities for advancement. CI is part of CI Financial, a diverse group...
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Compliance Manager
3 days ago
Toronto, Canada Collabera Full timeDescription:The Senior Country Compliance and Operational Risk Manager is responsible for ensuring the identification, escalation and timely mitigation of compliance and operational risks in the country in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy (collectively "the Policies") and the Compliance and...
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Compliance Manager
3 days ago
toronto, Canada Collabera Full timeDescription:The Senior Country Compliance and Operational Risk Manager is responsible for ensuring the identification, escalation and timely mitigation of compliance and operational risks in the country in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy (collectively “the Policies”) and the Compliance and...
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Compliance Manager
3 days ago
Toronto, Canada Collabera Full timeDescription: The Senior Country Compliance and Operational Risk Manager is responsible for ensuring the identification, escalation and timely mitigation of compliance and operational risks in the country in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy (collectively "the Policies") and the Compliance and...
