Manager, Compliance

3 weeks ago

Mississauga, Canada BMO Financial Group Full time

2465 Argentia Rd Mississauga Ontario,L5N 0B4

Manages a centralized Call Quality Monitoring team with a focus on identifying trends, emerging risks, and disseminating findings to front line leadership. Collaborates with first line leadership to assist in root cause analysis and development of remediation action plans, which can include targeted communications, procedural clarifications, coaching efforts.

Contributes to a strong risk management culture through collaboration with and second & third line functions to ensure Compliance, AML or operational risks are identified, mitigated, monitored and reported on an ongoing basis.
- Fosters a culture aligned to BMO purpose, values and strategy and role models BMO values and behaviours in all that they do.
- Ensures alignment between values and behaviour that fosters diversity and inclusion.
- Regularly connects work to BMO's purpose, sets inspirational goals, defines clear expected outcomes, and ensures clear accountability for follow through.
- Builds interdependent teams that collaborate across functional and operating groups to create the highest value for all stakeholders.
- Attracts, retains, and enables the career development of top talent.
- Improves team performance, recognizes and rewards performance, coaches employees, supports their development, and manages poor performance.
- Supports multiple, varied business units with corresponding number of regulators.
- Monitors and advises on management of risk requirements within the defined risk appetite.
- Manages/supports large/complex risk programs/frameworks /projects/initiatives to ensure risks are appropriately mitigated and regulations adhered to.
- Monitors industry and legislative developments and continuously updates programs to ensure they are competitive and effective.
- Supports the position on regulatory compliance Issues by interpreting requirements (existing, new and emerging) and identifying, analysing and addressing resultant gaps and issues, including those raised through the review of change initiatives. Understands the identified risk exposures and supports the development of action plans required to mitigate identified risks.
- Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
- Builds effective relationships with internal/external stakeholders.
- Ensures alignment between stakeholders.
- Breaks down strategic problems, and analyses data and information to provide insights and recommendations.
- Monitors and tracks performance, and addresses any issues.
- Builds change management plans of varying scope and type; leads or participates in a variety of change management activities including readiness assessments, planning, stakeholder management, execution, evaluation and sustainment of initiatives.
- Monitoring to ensure that 1st line jobs are following defined processes and procedures.
- Develops, documents and maintains business/group procedures updating and obtaining approvals as regulations or the operating environment changes and communicates changes to the business/group & relevant stakeholder groups.
- Designs measurable sustainment strategies including assessing and recommending mitigations for industry/ segment-specific risks and prioritizing opportunities presented by internal and external stakeholders.
- Tracks exception/exemption requests and corresponding approvals.
- Facilitates training to ensure business unit employees fully understand requirements.
- Provides quality control for investigations, self-reports, examinations and independent reviews conducted by internal and external stakeholders, including regulators, providing verbal and written responses to requests for positions, action plans, information and/or documentation
- Builds awareness, knowledge, and skills and, as necessary, provides communication, practical tools and ongoing support including making presentations, to promote a culture of risk identification and management.
- Supports the management of 1st LOD program for the business/group in compliance with appropriate principles, standards & direction from the second line of defense groups. Includes developing and promoting program and ensuring the execution of all program components.
- Develops and maintains an understanding of the business/group strategies and objectives, products and services, internal and external stakeholders and business processes as well as the underlying infrastructure to identify and manage implications and risk exposures for the business/group.
- Identifies, investigates, analyzes, documents & mitigates program risks, taking into account jurisdictional issues, and raises any issues or concerns to senior leaders and other stakeholders.
- Analyzes the impact and effectiveness of the program through periodic reviews.
- Recommends adjustments to the overall program, policy or processes within the business/group in accordance with the Risk Appetite Statement, Governance and Corpora

  • Compliance Manager

    1 month ago

    Mississauga, Canada Novo Nordisk Full time

    Compliance Manager (Privacy) **Category**:Legal, Compliance & Audit**Location**:Mississauga, Ontario, CA**REPORTS TO**: Director, Ethics and Compliance**# DIRECT REPORTS**: None**ABOUT THE FUNCTION** - The Legal, Ethics & Compliance Department works to safeguard Novo Nordisk’s license to operate and to foster sustainable business conduct as Novo Nordisk...

  • Customs Compliance Manager

    7 days ago

    Mississauga, Canada FB Canada Express Full time

    **About Us**: FB Canada Express stands as a rapidly expanding eCommerce logistics company that takes pride in its commitment to providing seamless and efficient shipping solutions across Canada. As a prominent player in the industry, we are driven by our dedication to reliability, innovation, and customer satisfaction. With an ever-expanding network and...

  • Manager Policy and Compliance

    4 weeks ago

    Mississauga, Canada OSL Retail Services Inc Full time

    Overview: It’s an exciting time to be at OSL Retail Services, working for a people focused company that’s at the top of its game. The momentum we’ve generated in recent years with our commitments to client customers, innovation, business results, and an entrepreneurial spirit has created energy, enthusiasm, and engagement among our employees that is...

  • Legal and Compliance Manager

    1 month ago

    Mississauga, Canada Strongco Full time

    Province: Ontario Branch: Mississauga Employment Type: Full Time Number of Positions: 1 Share: February 16, 2024 Legal and Compliance ManagerSUMMARYAs theLegal & Compliance Manageryou’ll oversee and coordinate legal activities in our businesses across Canada, ensuring seamless collaboration between business teams. Responsibilities includes reviewing...

  • Legal and Compliance Manager

    4 weeks ago

    Mississauga, Canada Strongco Full time

    Province: Ontario Branch: Mississauga Employment Type: Full Time Number of Positions: 1 Share: February 16, 2024 Legal and Compliance ManagerSUMMARYAs theLegal & Compliance Manageryou’ll oversee and coordinate legal activities in our businesses across Canada, ensuring seamless collaboration between business teams. Responsibilities includes reviewing...

  • Legal and Compliance Manager

    4 weeks ago

    Mississauga, Canada Strongco Full time

    Province: Ontario Branch: Mississauga Employment Type: Full Time Number of Positions: 1 Share: February 16, 2024 Legal and Compliance ManagerSUMMARYAs theLegal & Compliance Manageryou’ll oversee and coordinate legal activities in our businesses across Canada, ensuring seamless collaboration between business teams. Responsibilities includes reviewing...

  • Regulatory Compliance Manager

    4 weeks ago

    Mississauga, Canada Delmar Group Full time

    Mandate: Reporting to the Vice President of North American Customs Services, the Regulatory Compliance Manager will be responsible for providing the full range of Canadian customs regulatory and advisory services to support our clients as well as the internal staff. Other Responsibilities: • Manage customs technical inquiries related to client accounts....

  • Regulatory Compliance Manager

    4 weeks ago

    Mississauga, Canada Delmar Group Full time

    Mandate: Reporting to the Vice President of North American Customs Services, the Regulatory Compliance Manager will be responsible for providing the full range of Canadian customs regulatory and advisory services to support our clients as well as the internal staff. Other Responsibilities: • Manage customs technical inquiries related to client accounts....

  • Regulatory Compliance Manager

    4 weeks ago

    Mississauga, Canada Delmar Group Full time

    Mandate: Reporting to the Vice President of North American Customs Services, the Regulatory Compliance Manager will be responsible for providing the full range of Canadian customs regulatory and advisory services to support our clients as well as the internal staff. Other Responsibilities: • Manage customs technical inquiries related to client accounts....

  • Regulatory Compliance Manager

    2 weeks ago

    Mississauga, Canada Delmar International Inc. Full time

    Mandate: Reporting to the Vice President of North American Customs Services, the Regulatory Compliance Manager will be responsible for providing the full range of Canadian customs regulatory and advisory services to support our clients as well as the internal staff. Other Responsibilities: • Manage customs technical inquiries related to client accounts....

  • Regulatory Compliance Manager

    4 weeks ago

    Mississauga, Canada Delmar International Full time

    Mandate: Reporting to the Vice President of North American Customs Services, the Regulatory Compliance Manager will be responsible for providing the full range of Canadian customs regulatory and advisory services to support our clients as well as the internal staff. Other Responsibilities: • Manage customs technical inquiries related to client accounts....

  • Regulatory Compliance Manager

    4 weeks ago

    Mississauga, Canada Delmar International Inc. Full time

    Mandate: Reporting to the Vice President of North American Customs Services, the Regulatory Compliance Manager will be responsible for providing the full range of Canadian customs regulatory and advisory services to support our clients as well as the internal staff. Other Responsibilities: • Manage customs technical inquiries related to client accounts....

  • Compliance Officer

    7 days ago

    Mississauga, Canada Embark Full time

    **Job Profile**: Compliance Officer **Compliance Officer** Full-time Reporting into Manager, Central Compliance At Embark Student Corp. (“Embark”) we’re on a journey to create an entirely new student experience. One that is built on instilling confidence in students around the paths they are choosing and their ability and agency to achieve their...

  • Manager Gmp Regulatory Compliance

    4 weeks ago

    Mississauga, Canada Thermo Fisher Scientific Full time

    As part of the Thermo Fisher Scientific team, you’ll discover meaningful work that makes a positive impact on a global scale. Join our colleagues in bringing our Mission to life every single day to enable our customers to make the world healthier, cleaner and safer. We provide our global teams with the resources needed to achieve individual career goals...

  • Manager, Compliance and Review

    1 month ago

    Mississauga, Canada Ministry of Children, Community and Social Services Full time

    The Ministry's Child Welfare & Protection Division leads policies, legislation, programs and service delivery reforms that deliver core child welfare services, including reforms to out of home services as part of a larger integrated, community-driven system with enhanced youth voice. The transformation addresses systemic barriers to better outcomes and...

  • Safety Compliance Officer

    4 weeks ago

    Mississauga, Canada Groupe Robert Full time

    Under the direction of the Safety & Compliance Manager, the Compliance Officer ensures the safety and compliance of asset and freight shipments under his/her responsibility. Prevention, Safety & Compliance Verifies, audits, analyzes, complies by informing, training and supporting driver meetings by supporting drivers primarily in relation to: - Hours of...

  • Hipaa Compliance Specialist

    1 month ago

    Mississauga, Canada BoomerangFX Full time

    **Position Title**: HIPAA Compliance Specialist **Term**: Contract (30 days) **Area of focus**: HIPAA Compliance, Compliance Software (Vanta or Darta), Policy Implementation **Work Location**: position is 100% on-site in Mississauga (Financial Dr.) **Why BoomerangFX?** BoomerangFX is more than just a SaaS tech company - we are one of North America’s...

  • Compliance Officer

    2 weeks ago

    Mississauga, Canada SNC-Lavalin Full time

    Job Description Compliance Officer AtkinsRéalis is one of Canada's largest private sector nuclear engineering groups. We have been providing a wide range of services to the nuclear industry in Canada and around the world since for more than 60 years. We are proud to be the steward of Canadian CANDU nuclear technology. The position of Compliance...

  • Financial Compliance Officer

    2 weeks ago

    Mississauga, Canada Travel Industry Council of Ontario Full time

    Formed in 1997, the Travel Industry Council of Ontario (TICO) regulates Ontario’s travel agencies, booking websites and tour operators. TICO administers the Travel Industry Act, 2002 on behalf of the Ontario government.As a consumer protection organization, TICO facilitates a consumer complaints process and administers the Ontario Travel Industry...

  • Financial Compliance Officer

    3 weeks ago

    Mississauga, Canada Travel Industry Council of Ontario Full time

    Formed in 1997, the Travel Industry Council of Ontario (TICO) regulates Ontario’s travel agencies, booking websites and tour operators. TICO administers the Travel Industry Act, 2002 on behalf of the Ontario government.As a consumer protection organization, TICO facilitates a consumer complaints process and administers the Ontario Travel Industry...