Senior Manager, Compliance

3 days ago

Mississauga, Ontario, Canada TMX Group Full time

Venture outside the ordinary - TMX Careers

The TMX group of companies includes leading global exchanges such as the Toronto Stock Exchange, Montreal Exchange, and numerous innovative organizations enhancing capital markets. United as a global team, we're connecting cross-functionally, traversing industries and geographies, moving opportunity into action, advancing global economic growth, and propelling progress. Through a rich exchange of ideas, meaningful collaboration, and a nimble operating model, we're powering some of the nation's most critical systems, fueling capital formation and innovation, bringing increased opportunity to business visionaries, product ingenuity to consumers, and career exploration to our team.

Ready to be part of the action?

Reporting directly to the Chief Risk and Compliance Officer, TSX Trust, the Senior Manager, Compliance will be responsible for supporting the Chief Risk and Compliance Officer, TSX Trust in executing their mandate, and will be responsible for managing assigned programs and/or processes.

Key accountabilities:

  • Provide guidance and advisory to Business on new and existing compliance issues and related policies and procedures.
  • Monitor compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) and other AML laws and regulations.
  • Assisting Management in developing and implementing an assessment of inherent ML/TF risks.
  • Supporting the CAMLO with escalated ML/TF risks and client risk assessments.
  • Supporting the development and execution of independent second-line testing of key regulatory controls.
  • Assisting with day-to-day AML guidance to operational areas on the application of AML/OSFI compliance requirements.
  • Prepare formal and informal compliance reports and other communications to the business units and board reporting material, on a regular or ad hoc basis as required.
  • Provide guidance and advisory on matters related to materiality and compliance risk for any new or modified outsourcing or third party arrangements.
  • Provide guidance and lead in the identification, implementation, and maintenance of the company's privacy policies and procedures.
  • Manage escalated regulatory complaints, including privacy-related complaints.
  • Supporting the CCO with escalated privacy risks and impact assessments.
  • Tracking and monitoring issues and actions, as assigned.
  • Assist with special projects, or investigations, as required.
  • Ongoing monitoring of the performance of compliance programs and related activities on a continuing basis, taking appropriate steps to improve their effectiveness.

Must haves:

  • Undergraduate degree or equivalent.
  • ACAMS, CFCS or equivalent certifications.
  • 5+ years progressive experience in Compliance;
  • Experience in an OSFI regulated environment required.
  • Expert working knowledge of compliance legislation including but not limited to Anti-Money Laundering, Privacy, OSFI Guidelines and related best practices.
  • Strong working knowledge of the securities transfer regulations (US and Canadian industry standards).
  • Strong working knowledge of privacy risk management (Federal and provincial).
  • Working knowledge of other application regulatory or legal requirements including but not limited to provincial Unclaimed Property.
  • Proven ability to prioritize and juggle competing priorities;
  • Ability to apply judgment in decision-making without complete information;
  • Capacity for detail, critical thinking and decision making skills;
  • Strong presentation, written and verbal communication skills;
  • Strong interpersonal skills with the ability to interact across all leadership levels and with participant organizations and regulatory bodies;
  • Ability to work independently and in a team environment;
  • Excellent process & project management skills.

Nice to haves:

  • IAPP, CIPPC/C or equivalent certifications.

Ready to enrich your career with impactful work, leaders who truly care, and the flexibility and programs to help you thrive as part of #TeamTMX? Apply now.

TMX is committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide accommodations for applicants and employees who require it.

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