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Compliance Advisory Vice President

2 months ago

Toronto, Ontario, Canada ThorekScott and Partners Full time

Unlock Your Potential with Thorek/Scott and Partners

We are proud to partner with a leading global bank to offer an exciting opportunity for a Vice President, Compliance Advisory role. As a key member of the Compliance team, you will play a critical role in ensuring the bank's compliance risk management program is executed effectively.


About the Role

The Vice President will report to the Director, Regulatory Compliance and will work closely with the other Compliance team members to provide regulatory specialist and compliance advisor support. This will include researching and analyzing legal and regulatory topics to assist with the bank's responses to regulatory changes and to develop strategies to respond to evolving regulatory expectations.


Key Responsibilities

  • Regulatory Compliance Expertise: Provide subject matter expert support and advice to the Canada Branch on topics such as Bank Act, Privacy, OSFI Guidelines, conflicts of interest, confidential information, sales conduct, and other regulatory requirements and related compliance policies.
  • Regulatory Change Management: Lead the execution of Program related activities, including monitoring and responding to regulatory changes, maintaining compliance regulations and controls libraries, coordinating the execution of regulatory compliance risk assessments, managing compliance issues, and preparing periodic reporting.
  • Compliance Projects: Design and execute various corporate compliance projects and Action Plans to remediate any compliance issues owned by Corporate Compliance Dept.
  • Policy and Procedures Management: Oversee the management of compliance related policies and procedures on behalf of Canada Branch, including acting as liaison with central policy management team and coordinating Canada Branch policy management activities.
  • Data Governance: Oversee and support key elements of compliance data governance at Canada Branch, including managing inventory of Corporate Compliance end-user computing assets, managing compliance metadata, and reporting database and supporting continuous improvement activities related to compliance data governance.
  • Corporate Compliance Administration: Assist with a variety of ongoing compliance administrative procedures including regulatory filings and registrations, completion of required provincial/business/corporate registrations, and compliance committee activities.


Requirements

  • Undergraduate degree in Finance or Commerce.
  • Bachelor of Laws (LLB) or Juris Doctor (JD) from a recognized Canadian law school, called to the Bar of Ontario, in good standing to practice law in Canada (Preferred but not mandatory).
  • Minimum of three (3) years of Compliance experience in an OSFI or Securities regulated firm.
  • Knowledge and experience in the operation of an international financial institution.
  • Experience in drafting regulatory analysis, policy, and procedures.


Please note that at present, legal eligibility to work in Canada is a prerequisite for this role.


We appreciate your interest in this role and look forward to reviewing your application.


Thank you for considering this opportunity.