Director, Advisory

Requisition ID: 200840

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

The Director builds, leads, and oversees a high-performing advisory team that provides ongoing guidance and support to Global Banking Markets and Treasury (GBM&T) Canada, including capital markets sales and trading businesses, Global Business Payments, and Group Treasury, along with their related front, middle, and back-office support and operational teams.

This role ensures that business strategies, plans, and initiatives are executed and delivered in compliance with governing regulations, internal policies, and procedures. The Director is supported by a team of product-focused Senior Managers and works closely with other Directors who support GBM&T Canada, as well as the Global GBM&T Compliance Product Specialists.

**Is this role right for you? In this role, you will**:

- Lead and manage the advisory relationship with the relevant GBM&T Canada business product, service, and operational heads.
- Develop a world-class advisory team and program that delivers consistently efficient and effective compliance support to GBM&T Canada’s end-to-end operations.
- Provide leadership and direction for the advisory team, including significant influencing, coaching, and mentorship.
- Ensure that the GBM&T Canada compliance policies and advisory procedures reflect, at a minimum, all Canadian legislative and regulatory requirements.
- Support the development and implementation of compliance training programs for GBM&T Canada and their support teams, designed to meet regulatory requirements or best practices.
- Oversee, coordinate, and/or assist in the preparation for reviews and information requests from Canadian and international regulatory bodies.
- Monitor and report on the state of the GBM&T Canada advisory compliance program through regular meetings with business, compliance, and control personnel, and the preparation and/or review of management information reporting and internal audit/regulatory review results.
- Actively contribute to industry regulatory forums, such as the Canadian Investment Regulatory Organization (CIRO).
- Assist on specific projects (e.g., special investigations, regulatory initiatives, etc.).
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Create an environment in which your team pursues effective and efficient operations of their respective areas, while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook, and the Guidelines for Business Conduct.
- Build a high-performance environment and implement a people strategy that attracts, retains, develops, and motivates your team by fostering an inclusive work environment and using a coaching mindset and behaviors; communicating vision/values/business strategy; and managing succession and development planning for the team.
- Motivate your team by fostering an inclusive work environment, communicating vision/values/business strategy, and managing succession and development planning for the team.
- Be a key player in the compliance transformation of GBM&T Compliance Canada operations.
- Provide leadership and mentorship to GBM&T Canada advisory personnel and develop and deliver consistently efficient and effective compliance support to GBM&T Canada’s operations.

**Do you have the skills that will enable you to succeed? We’d love to work with you if you have experience with**:

- A College Diploma or University Degree.
- A minimum of ten or more years of relevant experience in a large financial institution or established securities or other financial services regulatory agency.
- A thorough understanding of Capital Markets Products traded in Canada.
- A thorough understanding of CIRO rules related to trade products.
- Knowledge of bank regulatory requirements related to treasury activities.
- A general understanding of Canadian regulatory and industry trends, with the skills to translate requirements into efficient and effective policies, procedures, controls, systems, and training.
- The ability to identify opportunities for initiating, improving, and/or standardizing policies, procedures, and systems across GCM Canada, whether in response to regulatory changes or identified problems, and then conceptualize, produce, and promote efficient and cost-effective solutions to various levels up to and including senior management.
- Strong project management skills with a proven track record of leading successful regulatory compliance and technology-based compliance projects.
- An enquiring mind, excellent judgment, strategic thinking skills, and