Officer, Regulatory Compliance
2 months ago
The Regulatory Compliance Senior Officer will be accountable for supporting; the ongoing development, implementation and maintenance of a Regulatory Compliance Management (“RCM”) program based and consistent with OSFI E-13 guidelines. As well as, other regulatory guidelines and circulars that are compliance related and similar to OSFI E-13 in nature such as Bank for International Settlement (BIS) - Basel Committee Publication No. 113: Compliance and the Compliance Function in the Banks issued in April 2005.
**Duties**:
What you will do
- Assist in Identifying legislative, regulatory requirements and best industry standards/practices applicable to the Bank
- Assist in developing controls to mitigate Regulatory Compliance risks.
- Coordinate the creation, review and implementation of compliance policies, procedures and processes
- Assist in creating, reviewing and updating regulatory compliance documentation such as Monthly Compliance reports etc.
- Interpret compliance requirements for various departments related to their product/services and processes
- Coordinate ongoing review of policies, procedures, training materials and other communication tools to meet compliance requirements
- Assist with preparations for certain compliance related activities such as Enterprise-wide risk assessment, pre-attestation etc.
- Coordinate the self-assessments, risk assessment and other related activities, as and when necessary
- Assist in conducting the Compliance independent monitoring and testing for other departments, as and when required
- Assist with audit-readiness and submission of external regulatory examinations requests
- Assist with internal audit preparation and submissions as and when required
- Interact with external/internal auditors on matters related to audits of the Bank’s internal controls as and when required
- Oversee and monitor all filings of regulatory returns and other documentation as appropriate
- Support the development/maintenance of compliance training and communication
- Track Compliance Issues including privacy breaches, regulatory issues etc. and maintain compliance records
- Assist with preparing reportable complaints on a quarterly basis as required
- Work closely with the CCO and other Compliance team staff
- Other duties and projects as assigned
**Benefits**:
- Dental care
- Extended health care
- Paid time off
- RRSP match
- Vision care
Flexible Language Requirement:
- French not required
Schedule:
- Monday to Friday
- Overtime
Supplemental pay types:
- Bonus pay
- Overtime pay
Ability to commute/relocate:
- North York, ON: reliably commute or plan to relocate before starting work (required)
Work Location: In person
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