Compliance Risk Management Specialist

4 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. The successful candidate will play a key role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and independent compliance testing.

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.
  • 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.

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.

About First National:

First National is one of Canada's largest non-bank lenders, providing residential mortgages exclusively through our mortgage broker channel and servicing commercial clients through our national origination team of empowered advisors.

We are proud to be an equal opportunity employer and are 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.

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