Senior Consultant, Regulatory Compliance

2 weeks ago

Toronto ON, Canada Apex Systems Full time

Job Title: Senior Consultant, Regulatory Compliance

Client: Top 5 Bank

Time Type: Contract, 1 year

Job Category: Individual Contributor

Location: Toronto (some flexibility in location); In Office 2-3 days per week

Here are the mandatory requirements for a Senior Consultant in Regulatory Compliance:

  • Extensive Experience : Minimum of 5-7 years in regulatory compliance, preferably within the financial services industry.
  • Educational Background : Bachelor’s degree in Finance, Business Administration, Law, or a related field. Advanced degrees or relevant certifications (e.g., CRCM, CCEP) are a plus.
  • Regulatory Knowledge : Comprehensive understanding of regulatory requirements, compliance frameworks, and industry best practices.
  • Analytical Skills : Strong analytical and problem-solving abilities, with experience in regulatory risk assessment and mitigation strategies.
  • Communication Skills : Exceptional written and verbal communication skills, with the ability to present complex information clearly and concisely to stakeholders at all levels.

Job Description

Provides regulatory compliance subject matter expertise in the design, development, management, and implementation of compliance programs. The role ensures adherence to a broad range of regulatory requirements, including financial regulations, consumer protection laws, and industry-specific standards. Works across multiple impacted business areas from front-office to back-office activities.

Key Accountabilities

  • Executes project requirements within governance frameworks focused on regulatory compliance, with appropriate controls, in line with risk appetite and internal standards.
  • Participates in project/program design and provides advice & regulatory subject matter expertise to achieve required business results.
  • Identifies opportunities to eliminate, simplify, and automate compliance processes. Recommends approaches or changes to streamline and integrate processes to improve overall efficiency.
  • Conducts analysis required to inform strategic recommendations and considers the “big picture” when assessing whether a course of action is advisable in terms of balancing regulatory compliance and business goals.
  • Collaborates with internal & external stakeholders across multiple regulatory areas in the design, development, and implementation of compliance programs & solutions; able to both defend positions and receive/incorporate feedback.
  • Builds change management plans of varying scope and type; leads or participates in a variety of change management activities including readiness assessments, planning, stakeholder management, execution, evaluation, and sustainment of initiatives.
  • Identifies enablers and key issues prior to and during implementation, raises issues with stakeholders, and offers solutions to resolve issues or risks that jeopardize delivery.
  • Monitors and tracks performance and addresses any issues.
  • Provides compliance function in the review of requirement documents and process designs to ensure accuracy and completeness.
  • Demonstrates ownership and commitment by holding themselves accountable for the identification and resolution of project problems.
  • Leads and/or represents Compliance in project team meetings, governance forums, and inter-department forums.

Qualifications

  • University Degree or equivalent with 5 years+ experience in Regulatory Compliance or related function, or equivalent business experience
  • Knowledge of regulatory requirements, processes, and best practices
  • Project Management experience
  • Verbal & written communication skills – In-depth
  • Collaboration & team skills - In-depth
  • Analytical and problem-solving skills – In-depth
  • Influence skills - In-depth
  • Data-driven decision making - In-depth

Attributes

  • Self-motivated
  • Able to work within and navigate large institutions
  • Able to distill large and complex challenges into manageable pieces that are more easily communicated
  • Ability to engage both subject matter experts and senior leaders

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