Head of Legal Compliance

4 weeks 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 minimise risk and drive quality across the business. A primary function of the Compliance Department is to be the 2nd Line of Defence in the three lines of defence model.

**Responsibilities**:

- Oversees and monitors the implementation of the Compliance Management System.
- Assist Global General Counsel and U.S. General Counsel in matters relating to Canada.
- 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, corporate and contractual law.

**Desired Experience**:

- Juris Doctor (JD) & Active License
- Seven (7) years or more of 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 matter.
- Multi-lingual fluency.
- Experience with and eligibility & willingness to travel internationally as needed.

**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

**Benefits**:

- Dental care
- On-site gym
- On-site parking
- Paid time off
- Vision care
- VRSP

Schedule:

- 8 hour shift
- Monday to Friday

Supplemental pay types:

- Bonus pay

**Experience**:

- banking, Financial services receivables management: 7 years (required)
- Regulated risk & Compliance related: 5 years (preferred)

**Language**:

- French and English Speaking (required)

Licence/Certification:

- Juris Doctor (JD) & Active License (required)

Willingness to travel:

- 25% (preferred)

Work Location: Hybrid remote in Kirkland, QC

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