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Compliance Advisory Vice President

2 months ago

Toronto, Ontario, Canada ThorekScott and Partners Full time
Job Description

Thorek/Scott and Partners is seeking a highly skilled Compliance Advisory Vice President to join our team. As a key member of our Compliance Department, you will play a critical role in ensuring the Canadian Branch of a global bank remains compliant with all relevant regulations.

Key Responsibilities:
  • Regulatory Change Management: Monitor and respond to regulatory changes, maintaining compliance regulations and controls libraries, and coordinating the execution of regulatory compliance risk assessments.
  • Compliance Projects: Design and execute various corporate compliance projects and Action Plans to remediate any compliance issues owned by Corporate Compliance Department.
  • Policy and Procedures Management: Oversee the management of compliance-related policies and procedures on behalf of Canada Branch, including acting as liaison with central policy management team and coordinating Canada Branch policy management activities.
  • Data Governance: Oversee and support key elements of compliance data governance at Canada Branch, including managing inventory of Corporate Compliance end-user computing assets, managing compliance metadata, and reporting database and supporting continuous improvement activities related to compliance data governance.
  • Corporate Compliance Administration: Assist with various ongoing compliance administrative procedures, including regulatory filings and registrations, completion of required provincial/business/corporate registrations, and compliance committee activities.
Requirements:
  • Undergraduate degree in Finance or Commerce.
  • Bachelor of Laws (LLB) or Juris Doctor (JD) from a recognized Canadian law school, called to the Bar of Ontario, in good standing to practice law in Canada (Preferred but not mandatory).
  • Minimum of three (3) years of Compliance experience in an OSFI or Securities regulated firm.
  • Knowledge and experience in the operation of an international financial institution.
  • Experience in drafting regulatory analysis, policy, and procedures.