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Compliance Risk Management Specialist

2 months ago

Toronto, Ontario, Canada First National Full time
Job Summary

We are seeking a highly skilled Compliance Risk Management Specialist to join our team at First National. As a key member of our Compliance Department, you will play a critical role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and independent compliance testing.

Key Responsibilities
  • Support the implementation of the enterprise-wide compliance regime, ensuring that all business units are in compliance with regulatory requirements and internal policies.
  • Conduct risk-based monitoring reviews as part of the Compliance Monitoring Program to assess compliance with regulatory requirements and internal policies.
  • Assist the Compliance Department in implementing compliance processes, policies, and procedures, and assist with the update and/or development of policies and procedures for new and/or changed business processes and/or regulations.
  • Maintain an understanding of the business units' strategies and objectives, products and services, and business processes as well as the underlying infrastructure to identify and manage compliance risk exposures for the business units.
  • Support the compliance independent testing and monitoring program, documenting test cases and results using tracking tools and approved sampling methodologies.
  • Conduct process and control assessments by documenting process maps, assessing risk and control designs, and evaluating the design and operation of internal controls on assigned projects within the Compliance Audit universe.
  • Work with the Compliance team and the business units to develop appropriate remediation actions to address any identified issues, and manage and report on the status of control deficiency remediation plans on an ongoing basis.
  • Ensure that the AVP, Compliance is advised of all material information derived from the monitoring and testing program, which will enable the Compliance Manager and Executive Management to provide an opinion on the adequacy of the RCM framework and state of compliance.
  • Participate in Vendor Risk Management process, and keep abreast of key compliance and regulatory changes and policy/procedures updates through ongoing completion of education programs and attending internal and external seminars and training sessions.
  • Manage or support compliance projects and other business initiatives as required.
Requirements
  • Undergraduate degree, equivalent post-secondary education or an acceptable combination of relevant experience, education, and/or training.
  • Sound knowledge of compliance testing methodologies and processes.
  • Demonstrate ability to understand Canadian laws, regulations, internal controls, policies, and procedures.
  • Good understanding and knowledge of: Residential, commercial, and/or construction lending; and Regulatory environment and expectations within the Canadian financial services industry.
  • Ability to readily recognize and evaluate the impact of current or potential compliance issues.
  • Strong technical understanding of compliance risk management processes and activities.
  • Well-developed analytical skills and ability to synthesize complex information into accessible and meaningful business guidance.
  • Ability to effectively articulate findings and issues in a concise manner.
  • Strong attention to detail with ability to multi-task, prioritize, and work well in a fast-paced organization.
  • Collaborative team player with business relationship building attributes and strong work ethics.
  • Proficiency with Microsoft Office suite.