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Vice-President, Corporate Compliance Advisory

2 months ago

Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

Role Description

Reporting to the Director, Regulatory Governance (“Director”), the Vice-President, Corporate Compliance Advisory (“VP”) works closely with other Corporate Compliance team members with respect to regulatory change management and execution of Canada Branch compliance risk management program.

The incumbent is responsible for a variety of banking compliance program related activities including compliance inventory management, risk assessment, program reporting, policy and procedures management and overall compliance administration.

The incumbent acts as a regulatory specialist and compliance advisor with respect to key Canadian regulations such as the Canadian Bank Act, OSFI Guidelines, Privacy Act, and PCMLTFA / PCMLTFR. This will include researching/analyzing legal and regulatory topics to assist with Branch responses to regulatory changes and/or to support ongoing compliance risk management and to develop strategies to respond to evolving regulatory expectations.

The incumbent may also be responsible for administration of ongoing program initiatives and change delivery.

Key Accountabilities

The bank compliance advisor will be responsible for a variety of activities including:

  1. 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.
  2. 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
  3. 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.
  4. 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.
  5. 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.
  6. 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.

Role Objectives: Interpersonal

The VP will liaise with multiple internal and external stakeholders, including:

Internal:
Senior Management and Department Heads of Canada Branch
Regional Office (Americas Division)
Employees of Canada Branch

External:
Regulators, External Counsel
Consultants

Qualifications and Skills

Education:
Bachelor's degree (Required)
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)

Experience:
Minimum of three (3) years of experience in financial services compliance (Required)
Two (2) years of progressive experience in a leading Canadian law firm, or as in-house counsel for a federally regulated financial institution is preferred. Knowledge and experience in the operation of an international financial institution. Schedule III foreign bank branch (FBB) experience is an asset.
Experience in drafting regulatory analysis, policy, and procedures.

Skills:
Excellent organizational skills and an ability to manage multiple projects and priorities, while ensuring quality, resource, and time constraints are met.
Ability to work as member of team, including leading team activities/projects and supporting and mentoring other team members.
Outstanding problem-solving skills. Ability to analyze complex information to identify key issues and develop a plan to resolve.
Excellent relationship-building skills; ability to work with multiple stakeholders to build consensus and work towards solutions.
Excellent communicator with strong written and oral communication skills.

Candidates that do not meet all requirements may be considered for an Associate level position.

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive. We care about each other, reaching our potential, making a difference to our communities.

Working Conditions

Working Conditions:
Time pressure/deadlines Significant
Stress of multiple demands Significant
Attention to details Considerate
Office Environment Open office (hybrid work environment)

About SMBC

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at SMBCCB_Accessibility_Canada@smbcgroup.com.

SMBC is an EO employer - M/F/Veteran/Disability

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