Compliance Manager
3 weeks 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
6 days 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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Product Manager
2 days ago
Toronto, Ontario, Canada vaga para Product Manager Full timeAbout LeagueFounded in 2014, League is the leading healthcare consumer experience (CX) platform, powered by artificial intelligence (AI), reaching more than 63 million people around the world and delivering the highest level of personalization in the industry. Payers, providers, and consumer health partners build on League's platform to deliver...
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Compliance Manager
3 days ago
Toronto, Canada Beacon Software Full timeJoin to apply for the Compliance Manager role at Beacon Software 1 day ago Be among the first 25 applicants Join to apply for the Compliance Manager role at Beacon Software Beacon Software is a permanent capital holding company which acquires and grows essential businesses. We are a profitable series B+ firm that combines great technologists, operators and...
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Compliance Manager
5 days ago
Toronto, Canada Beacon Software Full timeJoin to apply for the Compliance Manager role at Beacon Software1 day ago Be among the first 25 applicantsJoin to apply for the Compliance Manager role at Beacon SoftwareBeacon Software is a permanent capital holding company which acquires and grows essential businesses. We are a profitable series B+ firm that combines great technologists, operators and M&A...
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Compliance Manager
3 weeks 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 weeks 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...
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Compliance Manager
3 weeks ago
Toronto, Canada Collabera Full timeProgram Manager/Senior Country Compliance and Operational Risk Manager 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...
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Compliance Manager
3 weeks ago
Toronto, Canada Collabera Full timeProgram Manager/Senior Country Compliance and Operational Risk Manager 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...
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Compliance Manager
6 days ago
Toronto, Canada Relay Full timeOur mission is to increase the success rate of small businesses. Traditional banking has been a growth limiter rather than a growth enabler for business owners, and we’re changing that. Relay is the all-in-one, collaborative money management platform. We’re building for employer SMBs and their finance function, internal and external, and are focused on...
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Compliance Manager
2 weeks ago
Toronto, Ontario, Canada Beacon Software Full timeBeacon Software is a permanent capital holding company which acquires and grows essential businesses. We are a profitable series B+ firm that combines great technologists, operators and M&A professionals to accelerate the scale of the ambition of the dozens of businesses we own and operate. We are supported by capital from tier-1 venture capital, crossover,...
