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Vice-President, Corporate Compliance Advisory

2 months ago

Toronto, Ontario, Canada SMBC Group Full time
Job Title: Vice-President, Corporate Compliance Advisory

Reporting to the Director, Regulatory Governance, the Vice-President, Corporate Compliance Advisory will work closely with the Corporate Compliance team to manage regulatory change and execute the Canada Branch compliance risk management program.

Key Responsibilities:
  • Provide subject matter expert support and advice to Canada Branch on regulatory requirements and related compliance policies.
  • Lead the execution of Program-related activities, including monitoring and responding to regulatory changes, maintaining compliance regulations and controls libraries, and coordinating the execution of regulatory compliance risk assessments.
  • Design and execute various corporate compliance projects and Action Plans to remediate any compliance issues owned by Corporate Compliance Dept.
  • Oversee the management of compliance-related policies and procedures on behalf of Canada Branch, including acting as liaison with central policy management team and coordinating Canada Branch policy management activities.
  • Support key elements of compliance data governance at Canada Branch, including managing inventory of Corporate Compliance end-user computing assets, managing compliance metadata, and reporting database and supporting continuous improvement activities related to compliance data governance.
Requirements:
  • Bachelor's degree (Required)
  • Minimum of three (3) years of experience in financial services compliance (Required)
  • Two (2) years of progressive experience in a leading Canadian law firm, or as in-house counsel for a federally regulated financial institution is preferred.
About SMBC:

SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at [insert contact information].