Compliance officer

2 weeks ago

Montreal, Canada St-Amour & Associates, Senc. Full time

The main responsibility of the Compliance Officer is to ensure adherence to the compliance and ethics rules applicable. He/she monitors the activities of the client's local entity and is also responsible for developing a dynamic at the Group level by working with the Compliance Officers at each of the client's entities (contacts, discussion, synergies, management of cross-functional topics/files, consolidation of contributions, etc.) and supports the deployment of cross-functional projects that affect the client's Group.

Responsibilities:

Identification and assessment of nonconformity risks:

  • Participate in writing and updating professional and ethical standards applicable to the group
  • Establish a nonconformity risk map and ensure it is updated and controlled
  • Respond to requests for information and surveys from the regulator and/or Financial
  • Assist and support the Compliance departments at international branches/subsidiaries with the deployment of the compliance mechanism prescribed by the Group
  • Participate in cross-functional projects that affect the entire Group and fall within the scope of Compliance Control
  • Perform verifications under the Compliance control plan
  • Detect and analyse anomalies and monitor their resolution
  • Handle the reporting of malfunctions inherent to compliance
  • Participate in due diligence activities carried out by clients and in calls for tender, when consulted internally
  • Participate in developing the tools needed to perform compliance controls
  • Suggest improvements to the Compliance control mechanism
  • Follow up on the recommendations issued by General Inspectorates regarding nonconformity
  • Risks identified and assigned to the local Compliance department
  • Participate in decision-making and reporting committees

Reporting:

  • Design or participate in designing the dashboards and/or indicators necessary to his/her activity (at local or Group consolidated levels)
  • Produce activity reports for his/her line managers (at local or Group consolidated levels)
  • Participate in drawing up reports for regulatory authorities and shareholders (at local or Group consolidated levels)

Activities which may require advanced expertise:

  • Impact assessment
  • Assess the impacts on the entity of rules in force and monitor their implementation

Control:

  • Organise and perform recurring verifications (second line of defence) aimed at ensuring
  • compliance with regulations and internal standards

Training and support:

  • Sensitise and support new arrivals at the Compliance Department
  • Participate in designing or coordinating training actions for operational and commercial business teams

Business line reference:

  • Be the point of reference for Compliance Officers for certain tasks assigned to them
  • Issue technical opinions and advice in response to requests from operational business teams

Department representation:

  • Represent the Compliance Department in various decision-making committees

Skills and qualifications :

  • Be familiar with regulations in the activity sector, monitor them and be capable of implementing them
  • Ability to analyse, summarise and anticipate
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