Senior Administrator Regulatory Initiatives Specialist
4 hours ago
Job Summary:
The Senior Administrator will provide support to the Senior Manager, Regulatory Initiatives & Reporting, and the 1A side of the PIC business. The role is responsible for executing effective management of tier one compliance and regulatory oversight, supporting compliance, regulatory, and operational risk, and ensuring business level processes and procedures are properly executed, documented, and reviewed for audit purposes.
Key Responsibilities:- Executes on Effective Management of Tier One Compliance and Regulatory Oversight:
- Works closely with the Senior Manager and/or assigned Project Team to uphold regulatory oversight and risk management standards.
- Collaborates with Compliance partners to implement regulatory and fiduciary guidelines into in-market best practices.
- Monitors adherence to regulatory and internal Bank requirements, ensuring compliance, risk management, and regulatory rules, guidelines, policies, and standards are followed across the assigned market area.
- Ensures business level processes and procedures are properly executed, documented, and reviewed for audit purposes as required.
- Supports the audit function both in the preparation stage and issue resolution of findings.
- Provides support to the Senior Manager to communicate and implement any changes in policies and practices that will impact our clients and/or the Relationship Managers.
- Supports Senior Manager, National Field Operations to identify, research, document, and report upon compliance concerns, establishing and maintaining PIC policies and procedures, researching and reporting on impactful regulatory changes, and taking part in special projects where assigned.
- Supports Compliance, Regulatory, and Operational Risk:
- Minimizes the Bank's exposure to risk by complying with and ensuring team members' compliance with all procedures, regulatory activities, and guidelines, including Privacy, Anti-Money Laundering, Anti-Terrorist Financing, FCAC, Know Your Client, Occupational Health and Safety, and Guidelines for Business Conduct.
- Supports and reinforces any changes in policies and practices to the Senior Manager for communication to the Relationship Managers, Market Leads, Regional Directors, GO Managers, and Portfolio Administrators.
- Works with the Senior Manager to help ensure that implementations of new policies and procedures are communicated effectively to the Relationship Managers, which will strategize towards inclusion of regulatory and compliance best practices.
- Ensures client complaints, claims, legal actions, and regulatory reviews, examinations, and investigations are handled effectively, and corrective actions are implemented in a timely manner. This is done in partnership with the Senior Manager.
Education/Work Experience/Designations:
Education & Work Experience:
- University Degree or College Diploma (Business, Economics, Accounting, Finance);
- Asset: CSC & CIM;
- Previous experience with Tier 1 compliance/regulation;
- Thorough investment management know-how and a depth of experience required as it relates to understanding compliance and regulatory rules;
- Solid understanding of Canadian Wealth Management objectives, strategies, and structures;
- Strong compliance knowledge and experience in Private Wealth and Investment Management;
- Ability to cultivate and maintain strong working relationships across multiple business lines;
- Extensive knowledge of all applicable regulatory rules, guidelines, policies, and requirements.
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