Regulatory Compliance Management Program Director
7 months ago
**Company Information**:
CIBC Mellon is a leading provider of asset servicing solutions to institutional investors in Canada, including multi-currency accounting, fund valuation, and investment information reporting. We are passionate about providing exceptional client service backed by our culture of innovation and success. Our outstanding employee experience will provide you with opportunities to learn and grow professionally while supporting the communities in which you live and work.
We are a diverse and dynamic workplace where employees take an active role in delivering on strategic objectives while advancing their individual career goals. We encourage innovative thinking and give our employees the support and resources they need to turn great ideas into actions.
**Position Overview**:
Reporting to the Chief Compliance Officer, the Regulatory Compliance Management (RCM) Program Director is responsible for managing CIBC Mellon’s RCM Program in accordance with the Office of the Superintendent of Financial Institutions (OSFI) Guideline E-13. This responsibility includes:
- recommending and implementing enhancements to the RCM Program;
- ensuring the RCM Program remains current in response to external and internal developments;
- understanding the CIBC Mellon’s current state of compliance with applicable regulatory requirements; and
- participating in the development of action plans to mitigate compliance risk to acceptable levels.
**Responsibilities**:
RCM Program
- Manage daily activities associated with the RCM Program, in accordance with the requirements outlined in OSFI Guideline E-13.
- Review, recommend and implement changes and enhancements to the CIBC Mellon Regulatory Compliance Management Policy and associated procedures.
- Support the Chief Compliance Officer in arriving at an opinion on the overall adequacy, effectiveness and adherence to compliance controls, and the state of compliance with applicable regulatory requirements on an enterprise-wide basis.
- Proactively monitor developments in the external regulatory environment to identify new and emerging applicable regulatory requirements.
- Monitor developments within CIBC Mellon relating to products, services, strategic initiatives, technology, and other activities to determine whether new applicable regulatory requirements are triggered.
- Communicate new applicable regulatory requirements to the Chief Compliance Officer and other impacted stakeholders, including how this impacts CIBC Mellon.
- Maintain a process for assessing the risk associated with applicable regulatory requirements.
- Challenge owners of applicable regulatory requirements to ensure effective documentation of controls and management of regulatory compliance risks.
- Ensure that compliance procedures are effectively being monitored and tested using a risk-based approach
- Through research and analysis, identify areas of enhancement with respect to compliance-related controls and lead the development of action plans to effectively mitigate compliance risk.
- Develop, maintain, and enhance compliance reporting to the Chief Compliance Officer, Senior Management and CIBC Mellon’s Board of Directors.
Additional Accountabilities
- Review and recommend revisions to corporate compliance policies, design and facilitate corporate-wide mandatory training, and prepare corporate communications, as required.
- Promote a culture of risk awareness, compliance, and control.
- Escalate to the Chief Compliance Officer if compliance risk is viewed as exceeding risk appetite.
- Provide second line advice, support and challenge on corporate projects and governance committees.
- Collaborate with members of the Risk Management team to continually enhance risk management programs.
- Propose and implement effective and practical solutions to support priorities relating to the strategic direction of CIBC Mellon.
**Qualifications**:
Specific Knowledge & Skills (not preferred or an asset)
- University degree, or equivalent
- 5 to 7 years progressive risk management and compliance experience in the financial services and/or securities industry, with emphasis on OSFI Guideline E-13 and RCM Program management
- Experience interacting with and responding to inquiries from OSFI and other regulators
- Knowledge of the products and services of the global securities services and trust industries
- Experience leading and managing projects across diverse business units
- Completion of Canadian Securities Course and/or CFA Level 1 preferred
Working Conditions Unique to Job (i.e., Standard Office Environment)
**CIBC Mellon's Values**:
Get it Right Every Day: Deliver service excellence while always acting with the highest ethical standards
Put Clients at the Centre: Advocate for clients by listening, sharing knowledge, and bringing the right solutions forward
Be One Family: Challenge, empower and recognize your colleagues
Take Ownership: Speak up, speak out, and make things better
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