Lead Advisor, Rcm Risk Assessment

6 days ago

Toronto, Canada Banque Laurentienne Full time

Toronto- Risk managementFull Time- 27000- 28 March 2024**Laurentian Bank. Seeing beyond numbers**

**Seeing beyond numbers**

At Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive. Today, we have over 2,800 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada and the United States. We drive results by placing our customers first, making the better choice, acting courageously, and believing everyone belongs.
- This role sits within Laurentian Bank.

LI-Hybrid

LI-MM1
- This role is located in Montreal or Toronto (Remote or Hybrid work model) or anywhere in Canada.- The Regulatory Compliance Program team reports to the Assistant Vice-President, Regulatory Compliance Management Program and provides compliance leadership throughout the organization, by ensuring healthy governance regarding the implementation of the RCM Framework.
- The Senior/Lead Advisor, Regulatory Risk Management, is a key resource for the second line of defence team responsible for administering the enterprise-wide compliance programme of Laurentian Bank. This role is responsible for leading and overseeing the development and execution of Regulatory Compliance Risk Assessments as well as contributing to the development of cohesive risk-based methodologies, structures, processes, systems, and other key control elements through which the Bank manages and mitigates regulatory compliance risk.

**Responsibilities**
- Develop methodology and guide the identification of applicable regulatory requirements across jurisdictions in which the Bank operates (e.g. laws, rules, regulations and prescribed practices; also referred to as “RCM Universe”);
- Lead development of procedures and methodologies to identify, risk assess, communicate, effectively manage and mitigate regulatory compliance risk and maintain knowledge of applicable regulatory requirements; this includes regulatory risk assessment methodology and change management procedures to ensure the information is updated to reflect new and changing regulatory requirements;
- Lead Regulatory Compliance Risk Assessment process across the enterprise in collaboration with the RCM Advisory team;
- Regularly update the assessment of risks inherent to Laurentian Bank, risk criteria and their relative importance, and keep relevant documents up to date.
- Contribute to RCM Program reporting, as required
- In alignment with the Enterprise Risk Management (ERM) Framework Policy, the ERM Risk Appetite and the RCM Framework policy, develop and manage enterprise-wide related policies, standards, procedures, guidelines, job aids, and methodologies;
- Take a lead role in assessing and structuring systems and processes to support the operationalization of the RCM Framework on an enterprise-wide basis;
- Contribute to the development and enhancement of the Regulatory Risk Management System (Resolver) to optimize risk assessment process;
- Work collaboratively with stakeholders to formulate recommendations and recommend best practices to improve compliance procedures and work processes;
- Collaborate closely with RCM Advisors to first Line of Defence to communicate, implement and support RCM Program processes and governance, as required.
- Develop and maintain effective and collaborative working relationships with the Regulatory Compliance teams, the lines of business, Internal Audit, risk, corporate functions, senior management and stakeholders.
- Ensure that entries in the Regulatory Risk Management System meet RRM standards and provide effective challenge where required to ensure the system is maintained and updated appropriately.
- Assist and support the development and enhancement of the regulatory Compliance Management framework. Activities may include supporting policy/standard/operating procedures lifecycle management, and education and training assessment, development & delivery.
- Assist and support the Chief Compliance Officer in the management of regulatory reporting, requests, audits, surveys and enquiries with regulators as required.
- Participate, as required, in various internal compliance and governance forums and working groups as well as industry working groups and forums.
- Update, optimize and maintain team policies and procedures, as applicable.
- Maintain excellent knowledge of regulatory compliance requirements, the organization's policies and procedures, and industry standards.
- Provide leadership and oversight in the development, integration and management of an enterprise-wide compliance program for Laurentian Bank to comply with applicable regulatory requirements.
- Lead the establishment of clear lines of responsibility and governance structure across the enterprise to manage regulatory compliance risk.
- Communicate RCM Program updates to impacted stakeholders including RCM Advisors.
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