Regulatory Affairs Specialist
3 weeks ago
This position is responsible for ensuring the application of compliance policies and regulatory requirements in the sectors supported by the team. The ideal candidate will have a strong understanding of regulatory matters and be able to influence the compliance culture within the organization.
Key responsibilities include:
- Ensuring the application of compliance policies in the sectors supported
- Providing regulatory guidance to supported teams and formulating decisions for specific cases
- Leading process changes related to compliance with supported teams
- Understanding business issues, identifying stakeholder needs, and proposing innovative strategies
- Participating in partner-compliance committees
- Contributing to the mastery and understanding of compliance obligations by investment operations employees
- Demonstrating a high level of influence with partners in determining solutions
- Contributing to documenting and maintaining up-to-date documentation of standards and requirements applicable to the sector
- Making recommendations when implementing new processes to ensure effective operationalization of regulatory requirements
- Supporting teams during audits
About the Team
You will be part of a team of 10 colleagues and report to the Senior Director of Compliance and Operational Quality, Investment Operations. The team's mandate is varied, including supervising and promoting a healthy compliance culture and acting as an expert, particularly for matters of a regulatory nature governing wealth management activities.
Prerequisites:
- Completed bachelor's degree, related to the sector of activity, and 6 years of relevant experience or completed master's degree, related to the sector of activity, and 4 years of relevant experience
- Good knowledge of compliance standards related to asset management
- Good knowledge of the Act and Regulations respecting the laundering of proceeds of crime and the financing of terrorist activities
- Knowledge of securities and investment products
- Knowledge of the Microsoft Office suite
- Knowledge of registered plans, an asset
- Experience in wealth management, an asset
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