Compliance Risk Management Specialist

3 weeks 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. In this role, you will play a key part in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and independent compliance testing.


Key Responsibilities



  • Supporting the implementation of the enterprise-wide compliance regime
  • Conducting risk-based monitoring reviews as part of the Compliance Monitoring Program to assess compliance with regulatory requirements and internal policies
  • Assisting the Compliance Department in implementing compliance processes, policies, and procedures
  • Maintaining 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
  • Supporting the compliance independent testing and monitoring program
  • Documenting test cases and results using tracking tools and approved sampling methodologies
  • Conducting process and control assessments by documenting process maps, assessing risk and control designs
  • Evaluating the design and operation of internal controls on assigned projects within the Compliance Audit universe
  • Working with the Compliance team and the business units to develop appropriate remediation actions to address any identified issues
  • Managing and reporting on the status of control deficiency remediation plans on an ongoing basis
  • Ensuring 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
  • Participating in Vendor Risk Management process
  • Keeping 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
  • Managing or supporting 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: exposure to the Provincial Mortgage Brokerages, Lenders, and Administrators Acts, the Personal Information Protection and Electronic Documents Act (PIPEDA), and other provincial private sector privacy laws "substantially similar" to PIPEDA, the Canada's Anti-Spam Legislation (CASL), the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its regulations, OSFI E-13, B-10 & B-20 Guidelines
  • 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 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

About First National


Founded in 1988, First National is one of Canada's largest non-bank lenders. We provide residential mortgages exclusively through our mortgage broker channel and service commercial clients through our national origination team of empowered advisors.


About Us


At First National, It's in our Nature is our rallying cry. It underlies our values, beliefs, and how we show up for each other, our clients, our partners, and the community. Our nature defines who we are and guides every decision we make.


First National is proud to be an equal opportunity employer and is committed to diversity and inclusion regardless of race, color, religion, national origin, age, gender identity, physical or mental disability, sexual orientation, or any other category protected by law.


We would like to thank all applications for their interest, but only candidates selected for an interview will be contacted.


#FNLOON

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