Compliance Risk Management Specialist
3 days ago
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.
The Role:This position will contribute to a strong compliance and risk management culture through collaboration with other first, second, and third-line functions to ensure Compliance risks are identified, mitigated, monitored, and reported on an ongoing basis. You will work closely with key stakeholders throughout the businesses to conduct process and control evaluations as well as identify remediation actions and process improvement opportunities.
Key Responsibilities:- Support the implementation of the enterprise-wide compliance regime.
- 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.
- 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.
- Document 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.
- Evaluate 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.
- 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.
- 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.
- 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.
First National is proud to offer a highly competitive compensation package, including base salary, bonus, benefits, and career advancement opportunities. We are an equal opportunity employer and are committed to diversity and inclusion. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.
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