Chief Compliance Officer

1 month ago

Saskatoon, Saskatchewan, Canada First Nations Bank of Canada Full time

About the Role

The Chief Compliance Officer will oversee compliance management, ensuring regulatory compliance, and utilizing analytical skills, effective communication, and financial expertise in managing compliance-related tasks on a day-to-day basis. This role is permanent full-time.

Key Responsibilities:

  • Supervision of all activities that are directed towards compliance with applicable regulatory bodies and legislation; maintain regulatory approval/registration as CCO.
  • Lead the evolution of the Bank's compliance and supervision framework to ensure that it meets all regulatory and legislative requirements and identify and prevent violations of regulatory requirements by the Bank, employees, and clients through risk assessments and supervision.
  • Effectively manage relationships with external regulatory bodies, support to all regulatory audits and timely remediation of compliance issues identified.
  • Serve as the designated privacy officer and Chief Anti-Money Laundering Officer and act as primary point of contact for the biennial independent reviews of the anti-money laundering program in accordance with FINTRAC requirements.
  • Supervision of registered individuals including oversight of registration and jurisdiction categories.
  • Focusing on the client's best interests, lead and oversee daily supervision of account opening and updates (including adherence to Know Your Client, Know Your Product, and suitability), supervision and monitoring of trading and portfolio management, personal account dealing approval procedures and policies linked to market abuse controls, and ongoing assessment and management of conflicts of interests.
  • Act as a knowledge resource to client-facing team to ensure products and services are delivered in a compliant manner.
  • Timely submission of accurate regulatory reporting and coordinating registrations.
  • Identify compliance training needs, develop, and deliver compliance training, including ensuring registered and unregistered client-facing employees have the appropriate training.
  • Partnering with the business to review the design and structuring of specific transactions, new products, services, operational procedures, operational change, and initiatives.
  • Managing relationships with custodians, brokers, data providers, and other operational and compliance service providers.
  • Create and deliver an annual Compliance Plan and oversee and support monitoring activities in line with the Compliance Plan ensuring that remedial action is taken, and that material issues, incidents, and breaches are escalated to relevant stakeholders.
  • Submit an annual report to the Board of Directors for the purpose of assessing compliance by the Bank and individuals acting on its behalf, with securities legislation.
  • Champion compliance, align the department's activities and responsibilities with the Bank's strategic direction, support and provide pragmatic risk-based advice, and counsel to all appropriate stakeholders.
  • Provide guidance and advice to business management in developing appropriate 'tone from the top' and awareness of required business conduct and ethical standards.
  • Support the Boards, and Governance Committees via compliance management information reporting, ad hoc communications, and guidance as necessary.
  • Maintain a trusted environment where employees can report risk and compliance issues and concerns to the CCO.

About You:

  • Deep knowledge and understanding of Compliance/AML/ATF methodologies and programs.
  • Knowledge and experience with OSFI and FINTRAC reporting requirements.
  • Knowledge and experience in a regulated financial services environment and different jurisdictions.
  • Ability to coach business units on compliance matters.
  • Detail-oriented and the ability to work on various projects at the same time under time constraints.
  • Experience with regulatory compliance tools and systems (i.e. Verifin, Ethidex).

Qualifications:

  • 10+ years of relevant financial industry and professional experience, including senior compliance and risk management roles and experience dealing with regulators.
  • Strong knowledge of financial industry's regulatory compliance practices, procedures, and principles applicable to legislation and regulation.
  • Strong digital skills, including advanced Excel, comfort with remote technologies, and experience using a variety of third-party software.
  • University degree in a related field of finance or economics, Law degree or professional designation (e.g., CFA, Chartered Accountant, or CIM).
  • Ability to establish credibility, and partner and collaborate with, and influence stakeholders to extract time and resource commitments, with and without authority, across the organization.
  • Ability to thrive in a dynamic, fast-paced environment, and take on a variety of tasks and challenges.
  • Diligent, organized, and with a strong attention to details.
  • Ability to work under minimal supervision.
  • Team player with strong written and verbal communication skills.
  • Acceptable criminal record and credit checks.

Job Location:

This full-time position is based out of our Saskatoon Head Office.

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