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Senior Vice President, Compliance Strategy
3 months ago
Role Overview
Reporting directly to the Director of Regulatory Governance, the Senior Vice President of Compliance Strategy plays a pivotal role in collaborating with the Corporate Compliance team to manage regulatory transformations and implement the compliance risk management framework for the Canada Branch.
The incumbent is tasked with overseeing a range of compliance-related activities, including the management of compliance inventories, conducting risk assessments, generating program reports, and ensuring the effective administration of compliance protocols.
Acting as a specialist in regulatory matters, the incumbent provides expert advice on key Canadian regulations, including the Canadian Bank Act, OSFI Guidelines, Privacy Act, and PCMLTFA / PCMLTFR. This involves thorough research and analysis of legal and regulatory topics to support the Branch's responses to regulatory changes and to develop strategies that align with evolving compliance expectations.
The role may also encompass the administration of ongoing program initiatives and the delivery of necessary changes.
Key Responsibilities
The compliance advisor will be accountable for a variety of tasks, including:
Advisory Services: The Senior Vice President will provide expert guidance and support to the Canada Branch on various topics, including the Bank Act, Privacy regulations, OSFI Guidelines, conflicts of interest, and sales conduct, ensuring compliance with all regulatory requirements and related policies. The VP will also offer critical insights and advisory support for new products and business initiatives.
Regulatory Change Management: The VP will spearhead the execution of program-related activities, which include:
- Monitoring and responding to changes in regulations
- Maintaining libraries of compliance regulations and controls
- Coordinating regulatory compliance risk assessments
- Managing compliance-related issues
- Preparing periodic program-related reports (annual, quarterly, monthly)
Compliance Project Leadership: The VP will design and implement various corporate compliance projects and action plans to address compliance issues identified by the Corporate Compliance Department.
Policy and Procedure Oversight: The VP will oversee the management of compliance-related policies and procedures for the Canada Branch, acting as a liaison with the central policy management team and coordinating related activities.
Data Governance: The VP will manage key aspects of compliance data governance at the Canada Branch, including the oversight of compliance-related assets, management of compliance metadata, and support for continuous improvement initiatives in compliance data governance.
Administrative Support: The VP may assist with various ongoing compliance administrative tasks, including regulatory filings and registrations, completion of necessary provincial and corporate registrations, and managing compliance committee activities, such as scheduling and minute preparation.
Role Objectives: Interpersonal Skills
The VP will engage with a diverse range of internal and external stakeholders, including:
Internal:
- Senior Management and Department Heads of the Canada Branch
- Regional Office (Americas Division)
- Employees of the Canada Branch
External:
- Regulatory Bodies
- External Legal Counsel
- Consultants
Qualifications and Skills
Education:
- Bachelor's degree (Required)
- Juris Doctor (JD) or Bachelor of Laws (LLB) from a recognized Canadian law school, with membership in good standing to practice law in Ontario (Preferred)
Experience:
- Minimum of three (3) years in financial services compliance (Required)
- Two (2) years of progressive experience in a leading Canadian law firm or as in-house counsel for a federally regulated financial institution is preferred. Familiarity with the operations of an international financial institution is advantageous. Experience with Schedule III foreign bank branches is a plus.
- Proficiency in drafting regulatory analyses, policies, and procedures.
Skills:
- Exceptional organizational abilities with a capacity to manage multiple projects and priorities while meeting quality and time constraints.
- Strong team player, capable of leading team initiatives and mentoring colleagues.
- Excellent problem-solving skills, with the ability to analyze complex information to identify key issues and formulate effective resolutions.
- Outstanding relationship-building skills, with the ability to collaborate with various stakeholders to foster consensus and drive solutions.
- Strong written and verbal communication skills.
Note: Candidates who do not meet all qualifications may be considered for an Associate level position.
We are committed to fostering a culture of growth, collaboration, and community impact.
Working Conditions
Environment:
- High-pressure deadlines
- Significant stress from multiple demands
- Attention to detail is essential
- Open office environment (hybrid work model)
About SMBC Group
SMBC Group is dedicated to providing reasonable accommodations for employees and applicants with disabilities in accordance with applicable laws.
SMBC Group is an equal opportunity employer – M/F/Veteran/Disability.
