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Chief Compliance Officer

2 weeks ago

Saskatoon, Canada FIRST NATIONS BANK OF CANADA Full time

**WE’RE HIRING**

**Chief Compliance Officer**

**About Us**

First Nations Bank of Canada is a federally chartered bank primarily focused on providing financial services to the Indigenous marketplace in Canada. Over 87% Indigenous owned and controlled, FNBC is a leader in advocating for the growth of the Indigenous economy and the economic well-being of Indigenous people.Headquartered in Saskatoon, SK and named one of Saskatchewan’s Top Employers, FNBC takes pride in itsworkforce of over 67% Indigenous employees working at locations across Canada.

**About The Role**

Reporting to the President & CEO, the Chief Compliance Officer will join the Executive team at our Head Office in Saskatoon. As Chief Compliance Officer you will be responsible for overseeing compliance management, ensuring regulatory compliance, 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.

**Here’s What You’ll Be Doing**:

- 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