Compliance Risk Management Director

1 month ago

Old Toronto, Ontario, Canada American Express Services Europe Limited Full time
Job Description

As a key member of the Compliance leadership team at American Express Services Europe Limited, you will play a critical role in ensuring the effective management of compliance risk in accordance with local market legal and regulatory requirements and internal American Express policy.

The Director of Compliance Risk Management and Head of Corporate Compliance will be responsible for leading on Compliance Risk Assessments and Management, Regulatory Change Management, Second-Line Compliance Testing, regulatory training for the market, and select cross-jurisdictional projects and initiatives as requested by the Chief Compliance Officer.

You will contribute to the development and maintenance of a strong Compliance regime and culture, providing effective management of compliance risk. This will involve strong partnerships with operations, business, and leadership teams in the Canadian market and globally, as well as providing oversight on effective regulatory risk management.

The role requires a solid understanding of Canada's regulatory environment and applicable laws and regulations, as well as a demonstrated strategic thought leadership to define compliance programs, develop winning strategies, and anticipate change.

Key Responsibilities

  • Provide significant input into the strategic direction and improvement of the Compliance program, devise and implement policies and procedures to achieve compliance, identify applicable legal compliance requirements and regulations, ensure appropriate Compliance-related training programs are conducted, provide guidance to the business on compliance issues, and support regulatory relationships, as required.
  • Lead on the enterprise Risk Management programs from a market perspective, including communicating new regulations and legislation, emerging risks, regulatory trends, and best practices, completing compliance risk assessments, and developing and providing specialized training as needed.
  • As appropriate, lead the development and monitor the implementation of Compliance Program goals, and conduct on-going reporting of Program results.
  • Interact with the a- Canada Executive Team and the extended management team, which may include Bank's Board of Directors and committees, to provide direction and guidance on compliance matters; b- regulators to assist in managing regulatory relationships and respond to examination and investigation matters, as required; c- industry groups to respond to proposed regulatory changes, industry-wide compliance initiatives, etc.; and d- frequently with key stakeholders to ensure a standard Compliance approach and provide timely management reporting.
  • Ongoing working relationship with General Counsel's Office, Audit, Internal Control, Risk, Corporate Security, Human Resources, and the Compliance network at market, regional, Line-of-Business, and Enterprise levels.
  • Maintain working knowledge of relevant legal and regulatory requirements. As needed, utilize General Counsel's Office, Audit, Risk, or Line of Business and Enterprise Compliance experts.

Qualifications

  • 10-15 years' experience in Compliance, Audit, Legal, or Risk Management in the financial services industry, preferably in the second or third-line functions.
  • University degree in a related field or equivalent combination of education and business experience. JD / LLM / MBA or other postgraduate degrees or professional designations would be considered an asset.
  • Solid understanding of Canada's regulatory environment and applicable laws and regulations.
  • Understanding regulatory, industry guidance, and best practices relevant to the business, including technology implications.
  • Demonstrated strategic thought leadership to define compliance programs, develop winning strategies, and anticipate change. Experience in implementing regulatory-based changes in financial services.
  • Advanced analytical skills and strong technical expertise which can be applied effectively to understand and mitigate compliance risk, including experience leading regulatory compliance-related programs and strategic initiatives.
  • Self-starter, strategic thinker, and must have the ability to manage complex projects, influence without authority, and effectively collaborate across multiple support and business groups and markets.
  • The incumbent must have experience in helping define and document policies, procedures, and process flows.

American Express is committed to providing an inclusive and accessible work environment in which all people who apply for positions or who work for or on behalf of Amex are treated with dignity and respect and are provided with equal treatment with respect to employment, regardless of that person's age, sex, sexual orientation, gender identity, gender expression, race, colour, ancestry, ethnic or national origin, citizenship, religion or creed, marital status, family status, pregnancy, disability, record of offences, social condition or origin, political beliefs, association or activity, or other factors prohibited under applicable Human Rights legislation.

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