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Senior Manager, RCM Monitoring
2 weeks ago
This position will play a key role in the identification, assessment, management, monitoring and reporting of the Bank's Regulatory Compliance Program on an enterprise-wide basis, focused on ensuring alignment with OSFI E-13 guidance. The role will primarily be responsible for conducting testing activities on controls related to the Bank Act, Anti-Money Laundering/Anti-Terrorist Financing, Privacy, Consumer Provisions, Whistleblower, FATCA, and CASL
This position reports to the Associate Director, RCM Monitoring & Testing Main Activities: Regulatory Compliance Management (RCM) Support the Director, Regulatory Compliance with the development, implementation and maintenance of enterprise-wide compliance related policies and procedures for the general operation of the RCM Program and its related activities to enable Management and employees to comply with regulatory requirements, and to manage the Bank's regulatory, reputational and other operational risks. Subject matter expert on the issues management function within the Bank's RCM Tool (Resolver), this includes adding, maintaining and closing regulatory compliance issues. Direct, facilitate and advise all business units on the annual testing schedule Advise business units in the assessment and management of compliance and associated risks in the design, development and implementation of standards, control and certification processes and programs specific to their businesses. Manage the adherence to, and adequacy and effectiveness of regulatory compliance controls (including inherent and residual risk ratings), and advise the business units in the development of additional controls on an as needed basis. Analyze findings, make recommendations and communicate them to various levels of management, as appropriate. Prepare formal written reports, as required, and track any issues to full resolution. Complete and maintain adequate work papers to support findings. Remain current on compliance related issues, developments, trends, practices and risks to the Bank and provide sound recommendations for action. Support the Director, Regulatory Compliance in leading or participating in strategic initiatives and projects where Compliance support is required. Provide advice and guidance to business stakeholders on compliance matters and requirements, as needed. Regularly review and/or draft internal policies and procedures relating to issues management. This will include, but is not limited to, the development and maintenance of Testing procedures, templates and communications Work closely with Internal Audit and external regulators during regulatory compliance reviews and examinations Maintain collaborative working relationships with other second and third line of defense Bank partners in order to foster the development of a compliance culture. Develop communication tools to ensure ongoing awareness of the RCM Testing
Reporting Support the Director, Regulatory Compliance with drafting Board and Management reporting related to issues management and compliance testing results Report to the Director, Regulatory Compliance on the adherence to, and adequacy and effectiveness of controls over regulatory risk. Ensure that reports provide thorough and concise information for management, as necessary. Collect, analyze and report on relevant metrics, e.g., RCM gaps and Internal Audit findings. Track and report on related gaps and status.
Monitoring and Testing Monitor adherence to the RCM Program by planning, developing, implementing and conducting consistent enterprise-wide compliance testing and monitoring. Manage the adherence to, and adequacy and effectiveness of regulatory compliance controls (including inherent and residual risk ratings), and advise the business units in the development of additional controls. Analyze findings, make recommendations and communicate them to various levels of management, as appropriate. Prepare reports, as required, and track any issues to full resolution. Complete and maintain adequate work papers to support findings. Develop and facilitate an effective and ongoing RCM monitoring and testing program which captures all areas of regulatory risk impacting the Bank. Develop communication tools to ensure ongoing awareness of the RCM Program and requirements thereunder including the communication of issues to internal stakeholders. Tracking and managing identified issues or gaps to resolution and updating all required policies and procedures accordingly. Support the department to ensure compliance issues/concerns are being appropriately evaluated, investigated, reported and resolved. Knowledge/Skill Requirements: Preferably an undergraduate or graduate degree in business, finance, law or related field/professional certification or minimum of 5 years work-related experience in a federally regulated financial institution. Working knowledge of all lines of the business and functional departments within a bank. Specialized knowledge and experience should include regulatory compliance, policies and procedures development, risk management disciplines and best practices. Knowledge of regulatory legislation including but not limited to the Bank Act, Proceeds of Crime, Privacy, federal consumer protection laws, regulations and best practices. Previous experience in Compliance testing or Audit Excellent listening, written and verbal communication skills in order to influence a wide range of internal audiences and interact with all levels of management. Strong judgment, a practical approach and commitment to achieving excellence in regulatory compliance management. Ability to develop and maintain strong relationships with internal and external contacts. Effective problem-solving capabilities. Excellent organizational skills and the ability to work independently, perform under pressure within tight time constraints. Working knowledge of Microsoft Office (Word, Excel and PowerPoint
