Regulatory Conduct Capabilities

2 weeks ago

Toronto, Canada HSBC Full time

Role Purpose

Reporting to the Head of Regulatory Compliance (RC) Commercial Banking (CMB), the Senior Manager, RC CMB manages all aspects of Regulatory Compliance and is the primary advisor on RC matters for Commercial Banking. This includes impact analysis of regulatory changes, driving coordination and execution of various RC work streams in CMB, and ensuring alignment with applicable Global and CMB Policies. The individual may be responsible for Trade, Payments and Cash Management (PCM) and/or a general portfolio. The responsibilities of this position may include monitoring of the personal account dealing program, the eSurveillance program, conflict checks and vendor risk management analysis.
The role requires strong partnership with the CMB business and leadership team to drive the implementation of policy, as it applies to CMB.
Impact on the Business
- Ensure proactive approach is taken in identification of regulatory compliance risk change and potential impacts on CMB business. Specific responsibilities forTrade and PCM Businesses will be assigned as appropriate.
- Continuous review, in consultation with Regional RC Policy team(s), for appropriateness of framework to monitor regulatory compliance developments impacting on CMB business in region
- Drive or assist with the regional implementation plans to quantify impacts and implement actions to address, manage and mitigate impacts of regulatory changes on CMB in Canada.
- Develop and assist with implementation as required of regulatory compliance policies, procedures and systems that ensure that CMB exposure to regulatory compliance and reputational risks is managed, in a practical and effective manner, including efficient and reasonable deployment of resources and an understanding of the business operations and needs.
- Assist line management with the establishment and implementation of applicable Global and CMB strategic policies in region to ensure CMB exposure to current risks and emerging arising risk is managed appropriately.
- Work closely with Head of RC in the development and enhancement of committee reporting to Senior Management and Executive teams. Ensure consistent and accurate reporting, including status updates of regulatory compliance risks and related projects.
- Assist with the Compliance Risk Assessment process and annual Compliance Plans across the business lines.
- Execution of monitoring and support activities encompassing RC oversight, including, but not limited to personal account dealing, market conduct, e-Surveillance, vendor risk management assessments and other 2nd line of defence activities.
- Identification of Regulatory Compliance breaches and potential impacts on CMB employees.
- Works closely with Control Rooms and Global Service Centre to manage Risk and Compliance matters in CMB Canada.
- Provide management information statistics and breach details as part of on-going Senior Management and Committee reporting.

Customers / Stakeholders
- Liaise with relevant stakeholders within CMB, other Global Business and Functional teams to provide CMB expertise on all RC matters. Specific responsibilities for Trade and PCM Businesses will be assigned as appropriate.
- Ensure the appropriate timely and relevant risk information is provided to Regional Head of CMB RC, Regional Head of RC, Global Head of CMB RC, CMB senior management, Trade and PCM management as assigned, Risk Management Committee and CMB Risk Committee.

Leadership & Teamwork
- Strong communication and working relationship with Senior Managers in CMB
- Share best practice with group offices and other business lines with region and globally
- Maintain and develop positive and professional working relationships with senior business managers at the Group and Regional levels.
- Promote an environment that supports diversity and reflects the HSBC brand.

Operational Effectiveness & Control
- Focus on aligning the CMB operating practices with changes in regulatory compliance policies and regulations and regulatory risk, and ensure that CMB Regulatory Compliance Framework remains appropriate.
- Strive to resolve any/all identified issues promptly, and escalate material concerns to Head of RC CMB and other managers as appropriate to ensure timely awareness of any material impediments to timely remediation.
- Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy, including the timely implementation of recommendations made by internal/external auditors and external regulators and the escalation of concerns to management as appropriate with regard to timely remediation.
- Maintain awareness of operational risk within assigned portfolio and minimize the likelihood of it occurring including its identification, assessment, mitigation and control, loss identification and reporting.
- Ensure that all employees are aware of and effectively identify and manage applicable money laundering (ML), terrorist financing (TF), sanctions and

  • Manager, Business Conduct Compliance

    3 days ago

    Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

    **Position Title: Manager, Business Conduct Compliance** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent Full Time** The Manager, Business Conduct Compliance (BCC) is responsible for maintaining an effective regulatory relationship with assigned dealers by: - becoming and remaining knowledgeable about the firm’s...

  • Technical Lead

    4 days ago

    Toronto, Canada Financial Services Regulatory Authority of Ontario (FSRA) Full time

    FSRA is guided by our vision of financial safety, fairness and choice for Ontarians. We achieve this by public service through dynamic, principles-based and outcomes-focused regulation. FSRA is committed to attracting and retaining exceptional people who bring energy, expertise, and experience. This includes providing a comprehensive total rewards package...

  • Director, Trading Conduct Compliance

    2 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

  • Director, Trading Conduct Compliance

    2 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

  • Director, Trading Conduct Compliance

    2 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

  • Director, Trading Conduct Compliance

    Found in: Jooble CA O C2 - 2 weeks ago

    Toronto, ON, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description Position Title: Director, Trading Conduct Compliance Department: Human Resources and Organizational Effectiveness Location: Toronto Status: Permanent Full-time (Hybrid) The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

  • Business Conduct Compliance Examiner

    1 day ago

    Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

    **Position Title: Business Conduct Compliance Examiner** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent, Full-time (Hybrid)** As a self-regulatory organization, the New Self-Regulatory Organization of Canada (New SRO) takes our responsibility of setting high-quality regulatory and investment industry standards...

  • Business Analyst, Regulatory

    2 weeks ago

    Old Toronto, Canada Condominium Management Regulatory Authority of Ontario Full time

    Overview and PurposeUnder the direction of the Deputy Registrar, the Business Analyst conducts research and analysis to design or re-design processes that align with strategic objectives and regulatory projects and initiatives.Act as liaison between the business, internal IT team and third party vendors or consultants (if applicable) to bridge the technical...

  • Business Analyst, Regulatory

    2 weeks ago

    Old Toronto, Canada Condominium Management Regulatory Authority of Ontario Full time

    Overview and PurposeUnder the direction of the Deputy Registrar, the Business Analyst conducts research and analysis to design or re-design processes that align with strategic objectives and regulatory projects and initiatives.Act as liaison between the business, internal IT team and third party vendors or consultants (if applicable) to bridge the technical...

  • Business Analyst, Regulatory

    2 weeks ago

    Old Toronto, Canada Condominium Management Regulatory Authority of Ontario Full time

    Overview and PurposeUnder the direction of the Deputy Registrar, the Business Analyst conducts research and analysis to design or re-design processes that align with strategic objectives and regulatory projects and initiatives.Act as liaison between the business, internal IT team and third party vendors or consultants (if applicable) to bridge the technical...

  • Business Analyst, Regulatory

    Found in: Jooble CA O C2 - 2 weeks ago

    Toronto, ON, Canada Condominium Management Regulatory Authority of Ontario Full time

    Overview and Purpose Under the direction of the Deputy Registrar, the Business Analyst conducts research and analysis to design or re-design processes that align with strategic objectives and regulatory projects and initiatives. Act as liaison between the business, internal IT team and third party vendors or consultants (if applicable) to bridge the...

  • Graduate Regulatory Rotational Program

    15 hours ago

    Toronto, Canada Financial Services Regulatory Authority of Ontario (FSRA) Full time

    FSRA is guided by our vision of financial safety, fairness and choice for Ontarians. We achieve this by public service through dynamic, principles-based and outcomes-focused regulation. FSRA is committed to attracting and retaining exceptional people who bring energy, expertise, and experience. This includes providing a comprehensive total rewards package...

  • Business Conduct Compliance Examiner

    7 days ago

    Toronto, Canada CIRO OCRI Full time

    **Position Title: Business Conduct Compliance Examiner (ID)** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent, Full-time (Hybrid)** As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards...

  • Student Conduct Advisor

    7 days ago

    Toronto, Canada George Brown College Full time

    **CLOSING**:May 3, 2024 *** **Land**_ _**Acknowledgement** - George Brown College is located on the traditional territory of the Mississaugas of the Credit First Nation and other Indigenous peoples who have lived here over time. We are grateful to share this land as treaty people who learn, work, and live in the community with each other._ **Equity...

  • Student Conduct Advisor

    15 hours ago

    Toronto, Canada George Brown College Full time

    **CLOSING**:May 12, 2023 *** **Land**_ _**Acknowledgement** - George Brown College is located on the traditional territory of the Mississaugas of the Credit First Nation and other Indigenous peoples who have lived here over time. We are grateful to share this land as treaty people who learn, work, and live in the community with each other._ **Equity...

  • Regulatory Manager

    3 days ago

    Toronto, Canada Open Farm Full time

    **Who we are**: Founded in 2014, Open Farm is one of the fastest growing CPG companies in North America. We are transforming the way people feed their pets with a focus on producing premium, healthy food all ethically sourced from farm-to-bowl. We believe the best foods are made with consciously sourced, top-quality ingredients from farmers and fisheries who...

  • Regulatory Affairs Manager

    5 days ago

    Toronto, Canada Advanced Clinical Full time

    Regulatory Affairs Manager **Location**: Toronto, ON, Canada **Requisition Number**463** **Remote** Advanced Clinical is a clinical development and strategic resourcing organization committed to providing a better clinical experience across the drug development journey. Our goal is to improve the lives of all those touched by clinical research -...

  • Compliance Analyst, Canadian Market Conduct

    Found in: Talent CA C2 - 4 days ago

    Toronto, Canada Foresters Financial Full time

    Job DescriptionMarket Conduct and Sales Reviews (LIA’s, advisors and MGA’s):Collection of DocumentationFollow up and negotiation for missing documentation, as required.Tracking workflow and progress.Reviewing documentation per standardized compliance process to assess sales practices and other information against regulatory and Foresters/Canada...

  • Outreach Capability Lead

    4 days ago

    Toronto, Canada ELEVATE EMEA Full time

    About Us: We lead the charge in revenue growth strategies, specializing in outsourced sales and marketing lead generation. We're dedicated to delivering exceptional value to our clients and shaking up industries through innovative approaches. Our mission? To empower businesses to surpass their objectives by providing a comprehensive suite of sales...

  • Senior Compliance Officer

    2 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Senior Compliance Officer (MFD)Department:Business Conduct ComplianceLocation: TorontoStatus:Permanent Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes responsibility for setting high-quality regulatory...