Compliance Manager

4 weeks ago

Toronto, Canada Collabera Full time

Description:

- The Senior Country Compliance and Operational Risk Manager is responsible for ensuring the identification, escalation and timely mitigation of compliance and operational risks in the country in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs).
- The Senior Country C&OR Manager ensures that any inquiries and exams by regulators in the country are appropriately managed by the relevant Compliance & Operational Risk Officers. The Senior Country C&OR Manager escalates any key issues to the appropriate level of management.
- Responsibilities for this role also include ensuring consistent quality of activities, processes and outputs by establishing effective review practices across teams.

Responsibilities:

- Conduct C&OR risk assessments in the country and contribute to the risk assessment for the region, incorporating review of external loss events to assess control effectiveness
- Country C&OR reporting, identifying and aggregating compliance and operational risks/issues for the country
- Identify, collect, validate and record internal loss events and “near misses”. Perform root cause analyses on internal loss events and develop remediation plans to strengthen controls
- Identify, review and document relevant external loss events
- Contribute to Scenario Analyses to provide a forward-looking estimate of hypothetical operational losses
- Creation of C&OR risk training coverage plans to address local needs.
- C&OR risk monitoring occurring in the country
- Evaluation of internal audit results, regulator identified issues, monitoring & testing (“M&T”) results and advising on remediation required in country
- Ensuring Compliance and Operational Risk “owned” issues (i.e., Internal Audit, Regulator and Self-Identified issues) are addressed appropriately and timely.
- Contribution to the development of C&OR monitoring & testing plans.
- Execute governance and management routines
- Oversight of changes in local and regional regulation, including advising on those changes and directing the appropriate areas to implement or amend policies and procedures/processes to address change in regulations
- C&OR related projects and other duties as assigned

Qualifications

- A minimum of 10 years compliance experience with full-service investment dealer.
- Strong understanding of Canadian regulatory environment, including CIRO Rules, National Instruments, and UMIR.
- University degree or equivalent
- Proven track record in managing compliance programs and leading teams, with at least 2-5 years in a supervisory role.
- Experience with listed and over-the-counter securities and derivatives trading and/or operations
- Working experience in a foreign bank branch is a plus
- Self-motivated, team-orientated professional
- Excellent written and verbal communication and analytical skills
- Experience writing compliance policies, procedures or guidelines

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