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Business Compliance Officer

2 months ago

Toronto, Ontario, Canada President's Choice Financial Full time
About This Role

We are seeking a highly skilled Business Compliance Officer to join our team at President's Choice Financial. As a key member of our compliance team, you will play a critical role in ensuring our organization's adherence to regulatory requirements and maintaining a strong risk management culture.

Key Responsibilities
  • Implement and manage our Regulatory Compliance Management System (RCMS) to ensure effective risk management and compliance with applicable laws and regulations.
  • Maintain an inventory of governing legislation and controls within our business to ensure compliance and detect instances of non-compliance.
  • Review new legislation and changes to existing legislation, working with our business stakeholders to implement and enhance controls to ensure adherence to regulatory requirements.
  • Participate in our Business Compliance Officer (BCO) oversight program to ensure awareness of governing legislation and identification of issues of non-compliance.
  • Execute risk assessment and monitoring programs to evaluate the design and operating effectiveness of controls and identify material exposures to regulatory risk.
  • Identify instances of non-compliance and manage remediation of such issues as necessary.
  • Review business controls to ensure they are sufficient to meet regulatory requirements and identify control improvement opportunities.
  • Train and advise employees on compliance-related matters.
  • Assist in reporting to our Operational Risk Management Committee and Conduct Review Committee of the Board on our overall state of compliance with applicable legislative provisions.
  • Participate in governance meetings for outsourced service providers.
  • Provide advice and support to business stakeholders responsible for addressing compliance requirements.
  • Support the ongoing implementation and day-to-day functionality of our eGRC System in relation to our RCMS.
  • Develop and manage relationships with business stakeholders to execute our Regulatory Compliance Management framework.
Requirements
  • Bachelor's degree with a minimum of 3 years of relevant experience in the financial services industry, preferably within Regulatory Compliance, Internal Audit, Risk Management, Oversight, or similar function.
  • Ability to communicate clearly and effectively both verbally and in writing.
  • Knowledge of and experience with eGRC systems.
  • Ability to prioritize effectively and think critically in a fast-paced environment.
  • Strong personal accountability, honesty, and integrity.
  • A friendly, outgoing attitude with the ability to create partnerships with key business stakeholders.
  • Excellent time management skills and ability to work independently towards deadlines.
  • Proficiency in Microsoft Office (Excel, Word, PowerPoint, Visio).