Internal Control and Compliance Manager

2 weeks ago

Thornhill, Canada Bank of China(Canada) Full time

**Job Summary**:
Assist Internal Control and Compliance manager for the 1st defence line duty, handle information technology-related duty, and business management function.

**Key Responsibilities**:
1. Responsible for organizing and conducting work related to the first line of defence in the financial market, including but not limited to monitoring trading activities, transaction limits, risk limits and margin management.

2. Implement risk management duties related to operational risk, compliance risk, credit risk, technology risk, and other major risks.

3. Cooperate in carrying out related work such as KYC and anti-money laundering.

4. Responsible for cooperating with internal audits and external regulatory compliance inspections, preparing internal and external compliance and risk control reports, and liaising with external regulatory and auditing institutions.

5. Coordinate with head office business management, risk management, group audits, and middle office.

6. Responsible for leading the development and revision of business processes and procedures.

7. Responsible for trading profile management.

8. Support Negotiation and coordinate the signing of trading legal agreements (ISDA/CSA, etc.) and internal agreements with the head office.

10. Analyze and statistically report transaction data (as backup).

11. Conduct business analysis (financial data dimensions).

12. Departmental document management.

13. Other tasks assigned by superiors.

**Requirements**:

- At least 5 years of work experience in banking or financial industry with experience in the first line of defence, second line of defence, business management, or negotiation and signing of trading legal agreements.
- Holding professional qualifications such as a lawyer's license, certified public accountant (CPA), Financial Risk Manager (FRM), etc., is preferred.
- Familiarity with major risk categories in commercial banks and understanding regulatory policies of local authorities.
- Understanding the principles and requirements for identifying and monitoring major risks in financial market business.
- Goes beyond expectations in the assignment, task, or job description without being asked.
- Proficient in the use of office software.
- Proficient in English and Chinese (listening, speaking, reading, and writing).

**Benefits**:

- Company events
- Dental care
- Extended health care
- Flexible schedule
- Life insurance
- On-site parking
- Tuition reimbursement
- Vision care
- Work from home

Schedule:

- Monday to Friday

Supplemental pay types:

- Bonus pay
- Overtime pay

**Education**:

- Bachelor's Degree (preferred)

**Experience**:

- the first, second line of defense,: 5 years (preferred)

Licence/Certification:

- CPA/ FRM (preferred)

Work Location: Hybrid remote in Thornhill, ON L3T 7X8

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