Compliance Specialist, Regulatory Compliance

2 weeks ago

Old Toronto, Ontario, Canada Société Financière Manuvie Full time
Job Title: Compliance Consultant, Regulatory Compliance

At Société Financière Manuvie, we are seeking a highly skilled Compliance Consultant, Regulatory Compliance to join our team. As a key member of our Compliance team, you will play a critical role in ensuring that our organization remains compliant with all relevant regulatory requirements.

Key Responsibilities:
  • Regulatory Compliance Management: Support the ongoing management of our regulatory compliance management program, ensuring that all policies and procedures meet applicable regulatory requirements.
  • Complaint Investigations: Manage escalated complaints received at the Client Dispute Resolution Office, conducting investigations, trend analysis, and reporting.
  • Second Line of Defense Monitoring: Conduct second line of defense monitoring and testing in line with Global Compliance expectations, developing annual testing plans, executing testing, and reviewing controls.
  • Regulatory Records Management: Create and maintain regulatory records in the regulatory compliance management database (RCMD) for completeness and accuracy.
  • Compliance Point of Contact: Act as Compliance point of contact for risk and control self-assessments, particularly relating to complaint handling processes.
  • Compliance Issue Management: Manage potential compliance issues and action plans with business partners.
  • Compliance Reporting: Support the preparation and coordination of quarterly and annual compliance reporting and attestations.
Requirements:
  • Specialized Compliance Expertise: Possess specialized compliance expertise and/or legal experience working in financial services.
  • Legal Background: A legal background would be considered an asset.
  • Interpretation and Documentation: Ability to review, interpret, and document legislation and regulatory requirements.
  • Organizational Skills: Highly organized with excellent written and verbal communication skills.
  • Technical Skills: Experience with the Archer system would be considered an asset.
  • Subject Matter Expertise: Subject matter expertise in banking legislation, products, and procedures in various operational areas is desirable.
What We Offer:
  • Competitive Salary and Benefits: A competitive salary and benefits package.
  • Growth Opportunities: A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills.
  • Flexible Work Policies: Flexible work policies and strong work-life balance.
  • Professional Development: Professional development and leadership opportunities.

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