Compliance VP

2 weeks ago

Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full time
p>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.

Key Accountabilities

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

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
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.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.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.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.

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.
Excellent relationship-building skills; p>

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. 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.

SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. p>

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

#

  • Compliance VP

    2 weeks ago

    Old Toronto, Canada SMBC Full time

    p> Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Vice-President, Corporate Compliance Advisory Job Level:  Vice President Location:  Toronto, ON, CA, M5K 1H6 Employment Type:  Full Time Requisition ID:  3627 Reporting to the Director, Regulatory Governance (“Director”), the...

  • Vp, Financial and Operations Compliance

    3 months ago

    Toronto, Canada CIRO OCRI Full time

    **Position Title**:VP, Financial and Operations Compliance** **Department**:Financial and Operations Compliance** **Location: Toronto** **Status**:Permanent Full-time (Hybrid)** Reporting to the Senior Vice-President, Member Regulation and Strategic Initiatives, the VP, Financial & Operations Compliance (FinOps) is responsible for the ongoing monitoring...

  • VP, Legal Counsel

    2 days ago

    Old Toronto, Ontario, Canada CaseWare International Full time

    About the RoleCaseware International is seeking a highly skilled and experienced VP, Legal Counsel to join our senior leadership team. As a key member of our organization, you will play a pivotal role in shaping and scaling our legal function to support our growing business.Key ResponsibilitiesLead the Legal Team: Provide day-to-day legal advice and guidance...

  • VP, Legal Counsel

    2 days ago

    Old Toronto, Ontario, Canada CaseWare International Full time

    About the RoleCaseware International is seeking a highly skilled and experienced VP, Legal Counsel to join our senior leadership team. As a key member of our organization, you will play a pivotal role in shaping and scaling our legal function to support our growing business.Key ResponsibilitiesLead the Legal Team: Provide day-to-day legal advice and guidance...

  • Vice-President, Corporate Compliance Advisory

    3 weeks 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...

  • Vice-President, Corporate Compliance Advisory

    3 weeks 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...

  • Vice-President, Corporate Compliance Advisory

    2 weeks ago

    Old Toronto, Canada SMBC Full time

    Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Vice-President, Corporate Compliance Advisory Job Level:  Vice President Location:  Toronto, ON, CA, M5K 1H6 Employment Type:  Full Time Requisition ID:  3627 Reporting to the Director, Regulatory Governance (“Director”), the...

  • Vice-President, Corporate Compliance Advisory

    3 weeks ago

    Old Toronto, Canada SMBC Full time

    Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Vice-President, Corporate Compliance Advisory Job Level:  Vice President Location:  Toronto, ON, CA, M5K 1H6 Employment Type:  Full Time Requisition ID:  3627 Reporting to the Director, Regulatory Governance (“Director”), the...

  • Vice-President, Corporate Compliance Advisory

    3 weeks ago

    Old Toronto, Canada SMBC Full time

    Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Vice-President, Corporate Compliance Advisory Job Level:  Vice President Location:  Toronto, ON, CA, M5K 1H6 Employment Type:  Full Time Requisition ID:  3627 Reporting to the Director, Regulatory Governance (“Director”), the...

  • Vice-President, Corporate Compliance Advisory

    2 weeks ago

    Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

    Role DescriptionReporting 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...

  • Vice-President, Corporate Compliance Advisory

    3 weeks ago

    Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

    Role DescriptionReporting 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...

  • Vice-President, Corporate Compliance Advisory

    3 weeks ago

    Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

    Role DescriptionReporting 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...

  • VP, Chief Data Officer

    2 weeks ago

    Old Toronto, Canada The Co-operators Full time

    p>Description :Company: CGLDepartment: ITEmployment Type: Regular Full-TimeWork Model: HybridLanguage: This role operates in English.The Opportunity:We are a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. That’s why we prioritize...

  • Vp & Treasurer

    3 months ago

    Toronto, Canada Navigatr Full time

    Navigatr Group is a privately held company that invests in travel companies that elevate the customer experience and drive innovation. Our expansive and growing group of brands empowers seamless access to a comprehensive range of luxury travel options and services globally with over $1 billion transactions annually. Navigatr Group's goal is to create a more...

  • Manager, Compliance

    2 weeks ago

    Toronto, Canada Starlight Investments Full time

    WP Osborne Executive Search is partnered with Starlight Investments in a search for a Manager, Compliance. Manager, Compliance Reporting to the VP of Risk Advisory and Compliance, the manager will execute compliance activities across the organization. The successful candidate will be responsible f

  • VP & Chief Compliance Officer

    2 months ago

    Toronto, Canada Alterna Savings Full time

    Scope of Position The VP & Chief Compliance Officer (“CCO”) is accountable for the design, implementation and operation of the organization’s Regulatory Compliance Management Framework and associated compliance frameworks to safeguard the organization and support the attainment of strategic goals. Ensures compliance with applicable...

  • VP/ Collections

    4 weeks ago

    Old Toronto, Canada Momentum Financial Services Group_new Full time

    Job DescriptionGENERAL FUNCTIONWe are seeking a dynamic and experienced VP, Collections to lead our collections strategy and operational efforts across North America; this role will report directly into the Chief Risk Officer. This person will be responsible for developing and implementing effective collections strategies to maximize recoveries while...

  • VP/ Collections

    4 weeks ago

    Old Toronto, Canada Momentum Financial Services Group_new Full time

    Job DescriptionGENERAL FUNCTIONWe are seeking a dynamic and experienced VP, Collections to lead our collections strategy and operational efforts across North America; this role will report directly into the Chief Risk Officer. This person will be responsible for developing and implementing effective collections strategies to maximize recoveries while...

  • VP People

    6 days ago

    Toronto, Ontario, Canada WCG International Consultants Ltd. Full time

    Company DescriptionWe believe in the power of work. Since 1994, we've been partnering with governments and local agencies across Canada to create sustainable employment opportunities for people, businesses and communities. We understand that work gives hope, strengthens relationships and drives economic growth.Job DescriptionAbout the roleLocation:...

  • Vp, Regulatory Affairs

    3 months ago

    Toronto, Canada Aviso Wealth Full time

    **Aviso Wealth**: **The Opportunity**: We’re looking for a VP, Regulatory Affairs, to join our Compliance team. This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON. Reporting to the Chief Compliance Officer, the VP, Regulatory Affairs is responsible for the enhancement and...