Bank Regulatory Compliance Consultant
1 day ago
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)
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