Compliance Risk Management Specialist

2 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.

  • Compliance Risk Management Specialist

    1 week ago

    Toronto, Ontario, Canada First National Full time

    Compliance Risk Management SpecialistThe Compliance Risk Management Specialist 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. The incumbent will contribute to a strong compliance and risk management culture through...

  • Compliance Risk Management Specialist

    2 months ago

    Toronto, Ontario, Canada First National Full time

    Compliance Risk Management SpecialistWe are seeking a highly skilled Compliance Risk Management Specialist to join our team at First National. As a key member of our Compliance Department, you will play a critical role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and...

  • Compliance Risk Management Specialist

    2 months ago

    Toronto, Ontario, Canada First National Full time

    Compliance Risk Management SpecialistWe are seeking a highly skilled Compliance Risk Management Specialist to join our team at First National. As a key member of our Compliance Department, you will play a critical role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and...

  • Trade Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled and experienced Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a Trade Compliance Specialist, you will be responsible for ensuring that our clients' trade compliance programs are up-to-date and effective.Key Responsibilities:Develop...

  • Trade Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled and experienced Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a Trade Compliance Specialist, you will be responsible for ensuring that our clients' trade compliance programs are up-to-date and effective.Key Responsibilities:Develop...

  • Compliance Risk Management Specialist

    2 weeks ago

    Toronto, Ontario, Canada First National Full time

    Compliance Risk Management SpecialistThis role plays a critical part in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and independent compliance testing. The incumbent will contribute to a strong compliance and risk management culture through collaboration with other first, second,...

  • Trade Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs to ensure...

  • Trade Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs to ensure...

  • Risk and Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Risk and Regulatory ComplianceAt Takeda, we are committed to fostering a culture of ethics and compliance that prioritizes patient trust, reputation, and business integrity. We are seeking a highly skilled and experienced professional to join our team as a Risk and Regulatory Compliance Specialist.Key Responsibilities:Develop and implement...

  • Risk and Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Risk and Regulatory ComplianceAt Takeda, we are committed to fostering a culture of ethics and compliance that prioritizes patient trust, reputation, and business integrity. We are seeking a highly skilled and experienced professional to join our team as a Risk and Regulatory Compliance Specialist.Key Responsibilities:Develop and implement...

  • Compliance Risk Management Specialist

    2 months ago

    Toronto, Ontario, Canada First National Full time

    Job SummaryWe are seeking a highly skilled Compliance Risk Management Specialist to join our team at First National. As a key member of our Compliance Department, you will play a critical role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and independent compliance testing.Key...

  • Compliance Risk Management Specialist

    2 months ago

    Toronto, Ontario, Canada First National Full time

    Job SummaryWe are seeking a highly skilled Compliance Risk Management Specialist to join our team at First National. As a key member of our Compliance Department, you will play a critical role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high-quality, professional, and independent compliance testing.Key...

  • Compliance Risk Specialist

    2 weeks ago

    Toronto, Ontario, Canada S.i. Systèmes Full time

    Job SummaryWe are seeking a highly skilled Compliance Risk Specialist to join our team at S.i. Systèmes. The ideal candidate will have a strong background in compliance and risk management, with experience working in capital markets.Key ResponsibilitiesMonitor and investigate communications generated on monitored employees to ensure compliance with...

  • Trade Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Cross-Border Trade Compliance SpecialistWe are seeking a highly skilled and experienced Cross-Border Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level guidance on trade compliance matters, ensuring seamless customs clearance, and...

  • Trade Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Cross-Border Trade Compliance SpecialistWe are seeking a highly skilled and experienced Cross-Border Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert-level guidance on trade compliance matters, ensuring seamless customs clearance, and...

  • Compliance Risk Specialist

    2 weeks ago

    Toronto, Ontario, Canada Apex Systems Full time

    Job Title: Senior Compliance Infrastructure SpecialistDuration: 6-month contract with high possibility of extensionLocation: Downtown Toronto, 1-2 days/weekWe are seeking an experienced Senior Compliance Infrastructure Specialist to support our efforts in building a robust compliance framework that meets regulatory requirements.Key Responsibilities:Develop...

  • Compliance Risk Specialist

    2 weeks ago

    Old Toronto, Ontario, Canada Apex Systems Full time

    Compliance Risk SpecialistApex Systems is seeking a seasoned Compliance Risk Specialist to support our client, a top 5 bank in Downtown Toronto. This role is critical in building a robust compliance framework that meets regulatory requirements.Key Responsibilities:Design and execute key control tests to ensure compliance with industry standards and...

  • Compliance Risk Management Specialist

    1 day ago

    Toronto, Ontario, Canada First National Full time

    Job SummaryWe 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 ResponsibilitiesSupporting the...

  • Crossborder Trade Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs to ensure...

  • Crossborder Trade Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Crossborder Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs...