Compliance VP

3 months ago

Old Toronto, Canada SMBC Full time
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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 (“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. br>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; b>

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:

Stress of multiple demands Significant

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

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