Chief Compliance Officer, Rogers Bank

2 weeks ago

Toronto, Canada Rogers Communications Full time

**Who we are**:
At Rogers, we connect Canadians to a world of possibilities and the memorable moments that matter most in their lives. Every day we wake up with one purpose in mind. To bring loved ones together from across the globe. To connect people to each other and the world around them. To help an entrepreneur realize their dream. A sports fan celebrates a special moment.

Rogers Bank is seeking a Chief Compliance Officer (CCO) who will be responsible for driving and overseeing the Bank’s Regulatory Compliance program within the Bank’s Enterprise Risk Management framework. The CCO will be partnering with the business to satisfy the Bank's compliance risk management obligations.

The CCO will be a proven leader, responsible for leading the Bank’s compliance team, organizing the Bank Compliance function, identifying and communicating laws and regulations applicable to the Bank's business, establishing training programs for applicable laws, regulations and Bank policies and procedures, collecting and analyzing corporate compliance data, monitoring results, providing feedback to business units regarding their compliance activities, and reporting to senior management and the Risk and Conduct Review Committee of the Bank's Board of Directors. In addition, the CCO will act as a liaison with the Bank's regulators in connection with regulatory compliance matters and will be a member of the executive leadership team of the Bank. The CCO will be a leader who is approachable, collaborative and transparent. Passionate about the development of people and teams, the CCO will continuously identify opportunities to build provide top talent, improve processes, and leverage technology in the advancement of their team and their capabilities.

**What you’ll do**:

- Serve as the primary contact with the FCAC. Responsibilities include the coordination of information requests, management and oversight of onsite examinations, review and presentation of submission materials and achievement and maintenance of standards.
- Oversee and manage the Bank’s Regulatory Compliance Management Program, including the monitoring and testing of applicable regulatory requirements and related key operations controls to ensure the Bank’s compliance with internal policies and applicable regulatory requirements.
- Oversee and manage the Bank’s regulatory services vendor and systems software and ensure that all legal requirements are included and current.
- Provide advice and guidance to help enable the Bank to meet business and regulatory responsibilities. Advise business units involved in regulatory examinations on process and work with these teams to prepare responses for examination findings.
- Develop and oversee internal regulatory-related training programs for employees and work with vendors delivering services to develop vendor employee training programs and monitor the delivery of such training programs by vendors to its employees.
- Work with internal teams and stakeholders, including Complaints, Privacy, Enterprise Risk Management, Internal Audit and AML.
- Evaluate risks, identify significant compliance and control issues, and oversee the implementation and management of mitigating controls.
- Monitor and track emerging compliance risks (legislation, regulatory guidelines and voluntary codes of conduct) that may impact the Bank’s existing policies and implement necessary changes.
- Ensure alignment with the framework for reporting, issue management and escalation and ensure achievement of required regulatory standards.
- Oversee the preparation and submission of compliance documents, including preparation of quarterly reports for the Risk and Conduct Review Committee of the Board.
- Participate in relevant industry and regulatory forums, such as the Canadian Bankers Association.
- Oversee the Bank’s Records Management and Whistleblower policies, providing guidance to help enable the Bank to comply with them.

**What you have**:

- 7-10 years of experience in Regulatory Compliance Management, Operational Risk Management, Compliance Testing, and Auditing. Deep Bank-industry knowledge, experienced in how supporting functions and independent risk functions work with business.
- Significant knowledge of Federally Regulated Financial Institution (FRFI) regulatory requirements. In-depth knowledge of business level processes including Complaints Handling, Whistleblower Programs, and Sales Practices (e.g., Sales Culture, Performance Management, Governance, and related controls).
- Experience in interacting with various bank regulatory bodies.
- Well versed on internal control frameworks and risk standards, such as COSO and ISO.
- Proven ability to lead small teams and focused working groups. Having demonstrated commitment and engagement, like a real owner, hands-on partner.
- Highly developed analytical skills with attention to detail.
- Ability to transform overarching objectives into an executable plan, identifying and remo

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