Head of Compliance

5 months ago

Kirkland, Canada Phillips & Cohen Associates Full time

The role will involve working within our well-established Compliance Department to ensure that the Company continues to meet requirements published by the relevant regulators and ensuring adherence to all internal and external rules and client-requirements to minimize risk and drive quality across the business. A primary function of the Compliance Department is to be the 2nd Line of Defense in the three lines of defense model.

**Responsibilities**:

- Oversees and monitors the implementation of the Compliance Management System.
- Oversees regulatory and service-level compliance initiatives and develops and manages all related activities.
- Organizes, assigns, and audits Compliance Officer methods, strategies, and effectiveness.
- Coordinate, lead and remediate client audits and compliance-related findings.
- Coordinates work with Training and Operations to ensure optimal level of regulatory training and agent monitoring.
- Identifies control gaps and opportunities for improvement as it relates to client service level agreements, applicable regulation, and industry best practices.
- Oversee call auditing and scoring procedures, including trend analysis, remediation & corrective action.
- Partners with executive management to identify, test, and implement call and voice analytics software and programs.
- Reviews, revises, and assists in developing procedures, desktop directives, actions plan and remediation in response to client and or regulatory audits and reviews.
- Partners with senior leaders in managing external vendor relationships and corresponding audits.
- Presenting accurate advice on regulatory developments affecting the business.
- Ensuring appropriate document control throughout the business.
- Ensuring complaints and compliance procedures remain up to date and in line with the latest rules and guidance.
- Analyzes root causes of complaints and disputes and communicates with Global Risk committee and executive management to mitigate risk and enhance consumer experience.
- Ad-hoc legal advice on a range of issues, including data protection, employment, corporate and contractual law.

**Desired Experience**:

- Experience working in banking, financial services, receivables management, or equivalent industry.
- A track record of working in a regulated environment providing practical support and advice on risk and compliance related matters.
- Bilingual fluency (English & French)
- Juris Doctor (JD) or equivalent & an active license are preferred.
- Eligibility & willingness to travel internationally as needed.
- ** Salary range negotiable dependent upon experience**_

**Key Attributes**: Team Player; Collaborative; Anticipate Needs; Results Oriented; Self-Development; Client
- focused; Risk Management; Leader; Project Management; Controls; Deadlines; Negotiator; Relationship-builder; Problem-solver

**Job Types**: Full-time, Permanent

Pay: $90,000.00-$130,000.00 per year

**Benefits**:

- Dental care
- Employee assistance program
- Extended health care
- Life insurance
- On-site gym
- On-site parking
- Paid time off
- VRSP
- Work from home

Schedule:

- 8 hour shift
- Monday to Friday

Ability to commute/relocate:

- Kirkland, QC: reliably commute or plan to relocate before starting work (preferred)

**Experience**:

- banking, financial services and/or receivables management: 3 years (required)
- Regulated risk & Compliance related: 3 years (required)

**Language**:

- French and English (required)

Licence/Certification:

- Juris Doctor (JD) or equivalent & an active license (preferred)

Willingness to travel:

- 25% (preferred)

Work Location: Hybrid remote in Kirkland, QC

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