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Regulatory Compliance Specialist

2 months ago

Toronto, Ontario, Canada CB Canada Full time

Senior Compliance Officer

CB Canada is seeking a dedicated Senior Compliance Officer to enhance our compliance framework within the Banking Sector.

Role Overview

  • The Global Compliance Division is tasked with overseeing adherence to regulatory standards across the organization, ensuring alignment with the Global Compliance Framework.
  • This role involves advising business units on applicable legislation and providing necessary support to ensure compliance.
  • The team is responsible for fostering regulatory adherence by developing and sustaining compliance initiatives, including relevant training programs, conducting independent monitoring, and fulfilling reporting obligations.
  • Reporting to the Senior Manager of Canadian Banking Compliance, the Senior Compliance Officer will be part of the Canadian Banking Compliance (CBC) team, focusing on:
    • Offering guidance and expertise to Canadian Banking operations regarding regulatory requirements and controls, assisting in the management of compliance and conduct risks.
    • Overseeing and maintaining our internal Compliance program.
  • Support Canadian Banking operations effectively.
  • The ideal candidate will serve as a subject matter expert, providing ongoing guidance on regulatory compliance and conduct risk issues, including consumer protection, privacy laws, and industry guidelines.
  • This expertise will be utilized to implement our Compliance oversight program, which includes:
    • Regulatory Change Management: Contributing insights on proposed regulatory changes and serving as a subject matter expert during implementation.
    • Identifying emerging regulatory or industry risks and recommending appropriate policies or actions.
    • Maintaining an inventory of applicable regulatory requirements, assessing associated risks, and collaborating with business partners to establish corresponding controls.
    • Providing preventive guidance on new products and processes, and participating in business-initiated projects to ensure regulatory compliance.
    • Establishing day-to-day regulatory compliance controls within the business.
    • Implementing an effective first line oversight program.
    • Detecting and addressing violations of regulatory or internal policy requirements.
    • Monitoring and evaluating the effectiveness of business regulatory compliance controls.
    • Supporting the Compliance Department's testing and monitoring initiatives.
    • Guiding issue management from detection through resolution.
    • Reviewing business action plans for effectiveness and timely execution.
    • Reporting on existing and emerging compliance issues and risks to senior management and regulators as necessary.
    • Assisting with regulatory examinations and investigations, including necessary filings and reporting.
    • Conducting risk assessments to evaluate the overall compliance state of the business.
    • Reporting identified risks to senior management and relevant stakeholders.
    • Overseeing the internal CBC program, which includes policy development, training, and strategic initiatives.

Essential Qualifications

  • 1-3 years of experience in regulatory compliance, legal, or risk management.
  • Strong communication skills with the ability to engage various internal stakeholders.
  • Excellent critical thinking, organizational, and problem-solving abilities.
  • Interpersonal skills to interact effectively at all organizational levels.
  • Capability to provide leadership in fostering positive work environments.

Preferred Qualifications

  • Familiarity with Canadian Banking products, policies, and processes.