Associate, Banking Compliance

6 months ago

Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

**Role Description**:
Reporting to the Director, Regulatory Governance (“Director”), the Associate, Banking Compliance works closely with the Analyst, Regulatory Compliance with respect to the governance and execution of Canada Branch compliance risk management programs and related projects and initiatives. The position is responsible for a variety of compliance program related activities including: compliance inventory management, risk assessment, program reporting, policy and procedures management, complaints management, data governance and overall compliance administration. The position acts as a specialist and business advisor with respect to key Canadian regulations such as the Canadian Bank Act, OSFI Guidelines, and Privacy Act. This includes conducting research in legal and regulatory topics to support ongoing compliance risk management and to develop strategies to respond to evolving regulatory expectations. The position also provides analytical and administrative support to the Director with respect to ongoing program initiatives, managing compliance training plans and activities and ongoing monitoring and reporting activities.

**Role Objectives: Delivery**:
**Program Design & Execution: Position is responsible for assisting the Director with a variety of compliance program related responsibilities including**:
Managing Canada Branch regulatory requirements inventory and related SharePoint database
Managing regulatory change management procedures
Coordinating and overseeing the execution of annual and quarterly compliance risk assessments
Preparing periodic (annual, quarterly) program related management reports

**Policy & Procedures Management: Position is responsible for supporting the management of compliance related policies and procedures on behalf of Canada Branch, including**:
Acting as liaison with central policy management team and coordinating Canada Branch policy management activities with the corporate team
Managing the policy development cycle for all policies and procedures managed directly by Canada Branch

**Compliance Training: Position is responsible for assisting in the management, development, and delivery of general and targeted compliance training programs, responsible for day-to-day administration and program management, including**:
Acting as liaison with central compliance training team
Developing the Annual Compliance Training Plan in conjunction with the Director
Supporting the execution of the Training Plan, including tracking completion progress and related records management

**Corporate Compliance Administration: Position is responsible for a variety of ongoing compliance administrative procedures including**:
Completing required regulatory filings and registrations (e.g., OSFI, FCAC)
Completing required provincial/business/corporate registrations, with support from legal counsel.
Managing Canada Branch compliance committee activities, including scheduling, agenda management and minutes preparation
Preparing weekly and monthly internal reports
Managing shared drive/shared inbox and other compliance team shared information/data resources

**FCAC Compliance and Complaints Management: Position is responsible for implementing FCAC regulations/guidelines, monitoring and facilitating dispute resolution, including**:
Reviewing and updating relevant policy and procedure documentation to reflect the FCAC Supervision Framework / Bank Act requirements and legal guidance
Reporting to FCAC including reporting of complaints and reportable compliance issues

**Data Governance: Position is responsible for key elements of data governance at Canada Branch, including**:
Coordinating capture of Canada Branch data control information and related attestations and managing data governance related requests
Managing compliance metadata and data related documentation
Supporting continuous improvement activities related to compliance data governance
Acting as liaison with central data governance team on behalf of Canada Branch Compliance

Ongoing monitoring of Anti-Bribery/Anti-Corruption policies, including Gifts & Expenses Policies reviews and approvals
Providing advice and challenge with respect to privacy related matters
Providing advice and challenge with respect to the compliance risk implications of new products and business initiatives

**Other Duties: Position may be responsible for other duties as assigned such as**:
Supporting compliance related projects and initiatives
Supporting the remediation of any Compliance Department related issues

**Role Objectives: Interpersonal**:
**Internal**:

- Senior Management and Department Heads of Canada Branch
- Canada Branch Compliance Department colleagues
- Regional Office (Americas Division) - Compliance, Planning, Internal Audit, Legal, Technology
- Employees of Canada Branch

**External**:

- Office of the Superintendent of Financial Institutions (OSFI)
- Financial Consumer Agency of Canada (FCAC)
- Office of the Privacy Commissioner o

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