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Compliance and AML Oversight Manager

3 months ago

Markham, Ontario, Canada BANK OF CHINA Full time

Position Overview:

The AML Compliance Manager, reporting directly to the Bank's Chief Anti-Money Laundering Officer (CAMLO), will play a pivotal role in the formulation, execution, and management of the Bank's AML and compliance initiatives. This includes the establishment and enforcement 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 and ATF policies and operational procedures.
  • Ensure adherence to regulatory mandates 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 suspicious activities to verify compliance with established policies and procedures.
  • Monitor legislative changes and inform relevant stakeholders of updates to AML and ATF regulatory requirements.
  • Support the design, development, and implementation of the AML and ATF client risk assessment framework to facilitate customer interactions.
  • Provide timely and consistent feedback on escalated AML and ATF cases.
  • Collaborate with management to formulate investigative strategies and compliance frameworks related to AML and ATF.
  • Contribute to the development and execution of the Bank's compliance programs and initiatives as necessary.
  • Deliver pertinent compliance reports to the Legal and Compliance Department Management, particularly concerning AML and ATF.
  • Ensure thorough and prompt investigations of all incidents and cases related to AML and ATF.
  • Identify potential compliance vulnerabilities and coordinate projects to address these gaps.
  • Maintain a comprehensive register of all internally and externally reported incidents.
  • Assist in promoting compliance awareness and training initiatives across the Bank.
  • Stay informed about emerging regulatory changes, compliance risks, and trends in financial crime.
  • Support the management of the AML and ATF Compliance Program in alignment with the Bank's Risk Control Matrix Policy and OSFI Guideline E-13.
  • Engage in special projects as required, providing insights and guidance on risk and compliance issues arising from new business activities.
  • Perform additional functions as assigned by the CAMLO, as needed.

Qualifications and Skills:

  • A university degree in business, finance, or a related discipline, complemented by a minimum of 5 years of experience in AML, Risk Management, and Compliance within the Canadian financial services sector.
  • Proficient in interpreting laws and regulations pertinent to the financial services industry, specifically regarding AML and ATF.
  • Strong understanding of regulatory trends and challenges associated with AML and ATF.
  • Exceptional research, communication, and organizational capabilities.
  • Ability to engage effectively with all levels of staff within the Bank and with regulatory bodies.
  • Excellent time management skills with the capacity to meet deadlines across multiple projects.
  • Strong public speaking and presentation abilities.
  • Well-developed oversight and organizational awareness skills.
  • Ability to navigate conflicting viewpoints and devise innovative solutions.
  • People management experience is preferred but not mandatory.
  • Proficiency in the Chinese language is advantageous but not essential.
  • Solid working knowledge of IT applications, including Word, Excel, and Outlook.