Bank Regulatory Compliance Consultant

1 day ago


Old Toronto, Canada Manulife Insurance Malaysia Full time
p>Compliance Consultant, Regulatory Compliance page is loadedCompliance Consultant, Regulatory CompliancePostuler locations Toronto, Ontario time type Temps plein posted on Publié il y a 6 jour(s) time left to apply Date de fin: 21 décembre 2024 (Il reste 10jours pour postuler) job requisition id JR24090792

As a federally chartered bank and federally and provincially regulated trust company, Manulife Bank and Manulife Trust (“Manulife Bank”) are subject to numerous legislative requirements including the Bank Act, the Trust and Loans Company Act, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and the Personal Information Protection and Electronics Document Act, among others.

The Compliance Consultant, Regulatory Compliance is responsible for supporting the effective operation of Manulife Bank’s regulatory compliance management program, i ncluding the maintenance of all relevant regulatory compliance management records, risk and control assessments, evidence of controls, compliance issues and associated corrective action plans.

In addition, the Compliance Consultant, Regulatory Compliance is a seasoned and experienced professional with expertise in reviewing and interpreting legislation and documenting requirements in plain language. The individual in this role is responsible for the preparation of quarterly and annual compliance reports for applicable stakeholders including Manulife Bank’s Board of Directors in consultation with the Director, Regulatory Compliance and the Chief Compliance Officer. The Compliance Consultant must also have experience working with regulators and have an understanding of Bank industry issues impacting the business.

The individual in this role also acts as Compliance point person for the effective operation of the second line of defense monitoring and testing program, including the preparing testing plans in collaboration with the Compliance Director and Global Center of Expertise, maintaining policies and procedures, conducting second line of defense testing, preparing testing reports and managing any associated findings with our business partners.

In addition to the Bank Compliance team, this role interacts with senior leaders , our L egal department and broader compliance teams .

  • Support the ongoing management of the regulatory compliance management program, as well as policies and procedures to ensure that meet applicable regulatory requirements.

  • Manage escalated complaints received at the Client Dispute Resolution Office, including conducting complaint investigations, complaint trending analysis, and complaint related reporting. Act as a first point of contact with the Ombudsman for Banking and Investment Services escalated complaints.

  • Conduct second line of defense monitoring and testing in line with Global Compliance expectations, including the development of annual testing plans, execution of the testing, control review and assessment, liaison with business stakeholders.

  • Create and maintain regulatory records in the regulatory compliance management database (RCMD) for completeness and accuracy and assessing controls and risk within the RCMD.

  • Act as Compliance point of contact for risk and control self-assessments, in particular relating to the Bank’s complaint handling processes.

  • Manage potential compliance issues and action plans along with business partners.

  • Support the preparation and coordination of quarterly and annual compliance reporting and attestations, including preparing content for Board of Directors and Committee meetings.

Required Qualifications:

  • 3+ years experience in banking

  • Specialized compliance expertise and/or legal experience working in financial services.

  • Legal background would be considered an asset.

  • Ability to review, interpret and document legislation and regulatory requirements.

  • Experience working with data, particularly using Power BI.

  • Experience with the Archer system would be considered an asset.

  • Ability to readily recognize and evaluate the impact of current or potential compliance issues.

  • Ability to quickly understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, make practical recommendations and exercise good judgment in escalating issues.Emplois similaires(5)Gestionnaire, Tests de Conformitélocations 3emplacements time type Temps plein posted on Publié il y a 5 jour(s) time left to apply Date de fin: 21 décembre 2024 (Il reste 10jours pour postuler)Directeur.trice, Conformité aux normes de sécurité de l’industrie des cartes de paiement (PCI).locations 3emplacements time type Temps plein posted on Publié il y a 8 jour(s) time left to apply Date de fin: 30 décembre 2024 (Il reste 19jours pour postuler)Manager, Regulatory & AML Compliancelocations 2emplacements time type Temps plein posted on Publié il y a 14 jour(s) time left to apply Date de fin: 14 décembre 2024 (Il reste 3jours pour postuler)

    About Us #


  • Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Consultant, Regulatory Compliance Management (RCM) Locations: Toronto, ON Time Type: Full Time Posted On: Posted 2 Days Ago Time Left to Apply: End Date: November 25, 2024 (15 days left to apply) Job Requisition ID: 2423991 We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to...


  • Old Toronto, Canada TD Full time

    About This RoleWe are seeking a highly skilled Regulatory Compliance Expert to join our team in Canadian Banking.Company OverviewThe TD Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Framework.Job DescriptionProvide guidance, oversight, and expertise to Canadian Banking...


  • Toronto, Canada ICICI Bank Ltd Full time

    ICICI Bank Canada is a wholly-owned subsidiary of ICICI Bank Limited which has its headquarters in Mumbai, India. ICICI Bank Limited is a leading private sector bank in India. The Bank’s consolidated total assets stood at US$182.8 billion as at December 31, 2019. Established in December 2003, ICICI Bank Canada is a full-service direct bank with an asset...


  • Toronto, Canada ICICI Bank Ltd Full time

    ICICI Bank Canada is a wholly-owned subsidiary of ICICI Bank Limited which has its headquarters in Mumbai, India. ICICI Bank Limited is a leading private sector bank in India. The Bank’s consolidated total assets stood at US$182.8 billion as at December 31, 2019. Established in December 2003, ICICI Bank Canada is a full-service direct bank with an asset...


  • Old Toronto, Canada TD Full time

    About the RoleThe Global Compliance Department at TD is responsible for overseeing Regulatory Compliance across the organization in accordance with the Global Compliance Framework.This includes ensuring that businesses are aware of the legislation under which they are governed and providing advice and support as required.Job ResponsibilitiesProvide guidance,...


  • Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    Canadian Investment Regulatory Organization is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.Key Highlights:$90,000 - $110,000 per annum (estimated salary range)The role of a Regulatory Compliance Specialist at CIRO involves conducting...


  • Old Toronto, Canada CIBC Full time

    Regulatory Compliance RoleWe're seeking a talented Regulatory Compliance Specialist to join our team. As a key member of the Enterprise Wide Compliance team, you will play a critical role in supporting the Compliance Department's efforts to develop and communicate compliance policies, standards, guidelines, and methodologies.You will be responsible for...


  • Old Toronto, Canada TD Full time

    The TD Securities Compliance Department is a vital component of our organization, responsible for ensuring compliance with regulatory requirements. Our team strives to prevent violations by both employees and clients through monitoring, surveillance, training, liaison with regulators, promoting a compliance culture, and taking preventative measures.We are...


  • Toronto, Canada Exchange Bank of Canada Full time

    Exchange Bank of Canada (EBC) is a Schedule 1 bank headquartered in Toronto, Canada. Discover the opportunity to join an international, dynamic, and responsible bank that fosters the development of all its employees. Every day, we empower employees to achieve more. As we are a new bank in Canada, each employee is given a unique experience and great...


  • Toronto, Ontario, Canada Exchange Bank of Canada Full time

    Job Title: Regulatory Compliance ExpertAbout Exchange Bank of CanadaExchange Bank of Canada is a Schedule 1 bank headquartered in Toronto, Canada. The bank provides wholesale foreign exchange services and international payment solutions to financial institutions and corporations.Salary: $90,000 - $120,000 per year, depending on experience.Job Description:We...


  • Toronto, Ontario, Canada Royal Bank of Canada Full time

    We are seeking a highly skilled Regulatory Compliance Director to join our team at the Royal Bank of Canada. In this role, you will be responsible for ensuring that our bank's regulatory capital compliance processes are efficient and effective.


  • Toronto, ON, Canada Exchange Bank of Canada Full time

    Exchange Bank of Canada (EBC) is a Schedule 1 bank headquartered in Toronto, Canada. Discover the opportunity to join an international, dynamic, and responsible bank that fosters the development of all its employees. Every day, we empower employees to achieve more. As we are a new bank in Canada, each employee is given a unique experience and great...


  • Toronto, Canada RSM US LLP Full time

    We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience and our ability to be compelling to our clients. You’ll...


  • Old Toronto, Canada CIBC Full time

    Consultant, Regulatory Compliance Management (RCM)We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a...

  • Compliance Director

    1 week ago


    Toronto, Ontario, Canada EQ Bank | Equitable Bank Full time

    The Senior Manager, Quality Management role at EQ Bank | Equitable Bank is a high-profile position that demands exceptional leadership skills, strategic thinking, and regulatory expertise. As the subject matter expert in business and market conduct regulatory compliance requirements, you will provide critical advisory services to various stakeholders across...


  • Toronto, Canada TD Bank Full time

    **Work Location**: Canada **Hours**: 37.5 **Line of Business**: Audit **Pay Details**: **Department Overview**: **Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our...


  • Toronto, Ontario, Canada EQ Bank | Equitable Bank Full time

    Job Summary: EQ Bank | Equitable Bank seeks a highly experienced Regulatory Compliance Expert to lead our mortgage and consumer lending compliance efforts. As a key member of our team, you will be responsible for ensuring the bank's products and services comply with regulatory requirements and industry standards.About the Role:This is a senior role that...


  • Old Toronto, Canada Manulife Insurance Malaysia Full time

    Job DescriptionManulife Insurance Malaysia is seeking a highly skilled Regulatory Compliance Specialist to support the effective operation of its regulatory compliance management program.About UsWe are a global leader in financial services, dedicated to helping individuals make informed decisions and live better lives.ResponsibilitiesSupport the ongoing...


  • Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

    About the JobAs a Senior Compliance Business Oversight Officer at The Toronto-Dominion Bank (Canada), you will be a key member of our Canadian Banking Compliance team. Your primary responsibility will be to provide guidance, oversight, and expertise to our businesses on regulatory requirements and controls.This role is ideal for an individual with excellent...


  • Old Toronto, Canada Société Financière Manuvie Full time

    About Manulife Bank and Manulife TrustSociété Financière Manuvie, a federally chartered bank and federally and provincially regulated trust company, is subject to numerous legislative requirements. As a leading financial institution, we strive for excellence in regulatory compliance.