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Regulatory Compliance Officer
2 months ago
Regulatory Compliance Officer
On behalf of our client, CB Canada, we are seeking a Regulatory Compliance Officer.
Regulatory Compliance Officer – Job Overview
- The Global Compliance Division is tasked with supervising Regulatory Compliance across the organization in alignment with the Global Compliance Framework.
- This role involves ensuring that business units are informed about the legislation governing their operations and providing necessary guidance and support.
- The team is responsible for fostering regulatory compliance by developing and sustaining compliance programs, which include relevant training, conducting independent monitoring and oversight activities, and fulfilling reporting obligations.
- Reporting to the Senior Manager of Canadian Banking Compliance, the Regulatory Compliance Officer will be part of the Canadian Banking Compliance (CBC) team, and will: a) offer guidance, oversight, and expertise to Canadian Banking operations regarding regulatory requirements and controls, assisting in managing regulatory compliance and conduct risk; and b) ensure ongoing oversight and maintenance of our internal Compliance program.
- Support for Canadian Banking operations.
- The ideal candidate will serve as a subject matter expert, providing continuous advice and support on regulatory compliance and conduct risk issues, including consumer protection, privacy laws, and conduct risk guidelines.
- This expertise will be utilized to implement our Compliance oversight program, which includes:
- Regulatory Change Management: Offer insights on proposed changes to regulatory requirements or guidelines and act as a subject matter expert during implementation across the organization.
- Assess emerging regulatory or industry risks and recommend policies or actions to the business.
- Maintain an Inventory of Requirements: Keep track of applicable regulatory requirements, evaluate the risks associated with each, and collaborate with business partners to establish corresponding controls to mitigate those risks.
- Preventive Guidance: Review new products and processes; engage in business-initiated projects and provide advice on regulatory requirements.
- Guide the business in establishing daily regulatory compliance controls.
- Support the implementation and sustainability of an effective first-line oversight program within the business.
- Detective Activities: Identify and mitigate violations of regulatory or internal policy requirements.
- Independently monitor and evaluate the effectiveness of business regulatory compliance controls.
- Assist with regulatory Compliance Department testing and monitoring programs.
- Issue Management: Provide guidance throughout the lifecycle of an issue, from detection to resolution.
- Review business action plans for effectiveness and timely execution.
- Report on existing and emerging regulatory compliance issues and risks to senior management and regulators as required.
- Regulatory Engagement: Assist in responding to regulatory examinations and investigations, completing necessary filings and reports to regulators.
- Risk Assessment: Evaluate the overall state of the business' compliance with regulatory requirements, including the effectiveness of its Regulatory Compliance Management (RCM) program.
- Reporting: Communicate identified or emerging risks to senior management within Compliance, the business, and regulators as necessary.
- Support of internal Compliance program.
- The successful candidate will also oversee the internal CBC program, which encompasses the oversight and development of policies, job aids, training, and strategic initiatives, representing CBC on cross-Compliance initiatives.
Regulatory Compliance Officer – Required Skills
- Comprehend regulatory requirements and apply that knowledge to business-specific scenarios - 1-3 years' experience.
- Experience in regulatory compliance, legal, or risk management - 1 to 3 years.
- Strong communication skills.
- Ability to liaise with various internal stakeholders, including executives, to prepare reports.
- Excellent critical thinking, organizational, and problem-solving skills; effective time management.
- Strong interpersonal skills with the ability to engage at all levels of the organization with superior organizational awareness.
- Capability to provide thought leadership in fostering positive work environments.
Regulatory Compliance Officer - Preferred Skills
- Familiarity with Canadian Banking products, policies, and processes is preferred.
