Officer, Regulatory Compliance

2 months ago

North York, Canada ICICI Bank Ltd Full time

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

  • Regulatory Compliance Officer

    1 day ago

    North York, Canada 8Twelve Mortgage Full time

    8Twelve Mortgage Corp., a Canadian Mortgage Brokerage Located in Toronto, ON. that is transforming the home financing experience, is currently seeking a Regulatory Compliance Officer to join their team. This Financial Services company provides consumers with one convenient platform to solve all their mortgage needs. With Canada's largest selection of...

  • Officer, Regulatory Compliance

    1 week ago

    North York, Canada ICICI Bank Ltd Full time

    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...

  • Regulatory Compliance Specialist

    7 days ago

    North York, Canada THE EMPIRE LIFE INS. CO Full time

    Regulatory Compliance Specialist **Why you’ll love this role**: The Regulatory Compliance Specialist develops and implements an effective process for monitoring and validating regulatory compliance controls to enable senior compliance management to monitor, provide oversight and report on the overall state of regulatory compliance for the Company. The...

  • Compliance Officer

    1 month ago

    North York, Canada Moomoo Financial Canada Inc. Full time

    Moomoo Financial Canada Inc. (Moomoo CA), a next-generation broker-dealer, combines both technology with on-the-go trading to enhance the overall trading experience. Moomoo CA's parent company, FUTU Holdings Limited (FUTU), is listed on Nasdaq and backed by world-class strategic and venture capital investors including Tencent, Sequoia Capital, and Matrix...

  • Chief Compliance Officer

    1 month ago

    North York, Canada VirgoCX Inc Full time

    **Company Overview**: Arxnovum is a rapidly growing Canadian wealth management firm committed to delivering exceptional financial services to our clients. With a focus on personalized and tailored solutions, we provide comprehensive investment management, financial planning, and advisory services to individuals, families, and businesses. **Position...

  • Compliance Officer

    2 weeks ago

    North York, Canada RPRA Full time

    **COMPLIANCE OFFICER** Resource Productivity and Recovery Authority M2N 6K8 Are you passionate about protecting the environment? Do you go out of your way to reduce, reuse, and recycle? Do you envision a waste-free future? If you answered yes to those questions, then we’d like to hear from you. We are the Resource Productivity and Recovery Authority,...

  • Compliance Support Officer

    2 weeks ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    2 weeks ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    2 weeks ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated. COMPLIANCE SUPPORT OFFICER As the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    2 weeks ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    1 week ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    1 week ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    1 week ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated. COMPLIANCE SUPPORT OFFICER As the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    1 week ago

    North York, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Officer

    1 week ago

    North York, Canada QUALIFIED FINANCIAL SERVICES Full time

    **About you**: You’re a committed operational expert who understands the role of compliance to protect a financial security advisor and their practice. While you may not have a resume full of compliance experience, you do have operational insurance industry experience and you’re committed to learning and growing. You bring your best every day and are...

  • Compliance Officer

    1 week ago

    North York, Canada QUALIFIED FINANCIAL SERVICES Full time

    **About you**: You’re a committed operational expert who understands the role of compliance to protect a financial security advisor and their practice. While you may not have a resume full of compliance experience, you do have operational insurance industry experience and you’re committed to learning and growing. You bring your best every day and are...

  • Compliance Support Officer

    2 weeks ago

    North York, ON, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    2 weeks ago

    North York, ON, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    1 week ago

    North York, ON, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...

  • Compliance Support Officer

    1 week ago

    North York, ON, Canada Resource Productivity and Recovery Authority Full time

    We are looking for a talented and committed individual to join us as a Compliance Support Officer to support the government’s efforts to protect the environment and advance a new economy in which all waste is reused, recycled, and reintegrated.COMPLIANCE SUPPORT OFFICERAs the first point of contact, the Compliance Support Officer is responsible for the...