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AML Compliance Supervisor – Legal and Regulatory Affairs

3 months ago

Markham, Ontario, Canada BANK OF CHINA Full time

Position Overview:

The AML Compliance Supervisor, reporting directly to the Bank's Chief Anti-Money Laundering Officer (CAMLO), will play a crucial role in the formulation, execution, and management of the Bank's Anti-Money Laundering (AML) and compliance initiatives. This includes the establishment and enhancement of compliance frameworks, policies, and procedures aimed at identifying and mitigating compliance risks.

Key Responsibilities:

  • Oversee the execution and management of the second line of defense monitoring and evaluation program for AML and Anti-Terrorist Financing (ATF).
  • Enhance and sustain AML/ATF policies and procedural guidelines.
  • Ensure adherence to regulatory standards set forth by the Office of the Superintendent of Financial Institutions (OSFI) and the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC).
  • Assist in refining tools for monitoring, analyzing, and reporting financial transactions as mandated by FINTRAC.
  • Conduct reviews of flagged activities to verify compliance with established policies and procedures.
  • Monitor and report any legislative changes and regulatory updates concerning AML/ATF.
  • Support the design and implementation of the AML/ATF client risk assessment framework to enhance customer interactions.
  • Provide timely feedback on escalated AML/ATF cases.
  • Collaborate with management to devise investigative strategies and compliance frameworks for AML/ATF.
  • Contribute to the development and execution of the Bank's compliance programs and initiatives.
  • Deliver pertinent compliance reports to the Legal and Compliance Department Management, particularly regarding AML/ATF.
  • Ensure thorough and prompt investigations of all AML/ATF incidents.
  • Identify compliance vulnerabilities and coordinate projects to address these gaps.
  • Maintain a comprehensive register of all internally and externally reported incidents.
  • Facilitate compliance awareness and training programs across the Bank.
  • Stay informed on emerging regulatory changes, compliance risks, and trends in financial crime.
  • Assist in managing the AML/ATF Compliance Program in alignment with the Bank's Risk Control Matrix Policy and OSFI Guideline E-13.
  • Engage in special projects as needed, providing insights and advice on risk and compliance issues related to new business activities.
  • Perform additional duties as assigned by the CAMLO.

Qualifications and Skills:

  • A university degree in business, finance, or a related discipline, complemented by a minimum of 5 years of experience in AML/ATF, Risk Management, and Compliance within the Canadian financial services sector.
  • Proven experience in interpreting laws and regulations applicable to the financial services industry, particularly concerning AML/ATF.
  • Strong understanding of regulatory trends and challenges associated with AML/ATF.
  • Exceptional research, communication, and organizational abilities.
  • Proficient in engaging with all levels of staff within the Bank and with regulatory bodies.
  • Excellent time management skills, capable of handling multiple projects simultaneously.
  • Strong public speaking and presentation capabilities.
  • Well-developed oversight and organizational awareness skills.
  • Adept at managing conflicting viewpoints and providing innovative solutions.
  • Experience in people management is preferred but not mandatory.
  • Proficiency in the Chinese language is an asset but not required.
  • Solid working knowledge of IT applications such as Word, Excel, and Outlook.