Vice President, Compliance Advisory
2 weeks ago
Your Partners in Recruitment
Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our Canadian and International clients include: global banks and non-bank financial institutions, private equity and investment funds, professional service firms, and entrepreneurial businesses in a variety of industries. We value the human connection and distinguish ourselves through an unwavering dedication to understanding the goals and motivations of our clients and candidates alike.
This open role is currently being featured by Thorek/Scott and Partners We highlight a variety of open roles every week. If you save this position to apply to later, it may appear closed when you revisit it. For a full list of all open positions, please visit
Our Client
Our client is the Canadian Branch of a full stack global bank. The group has more than 130 offices spread across 40 countries worldwide.The North American division offers a range of commercial and investment banking services to its corporate and institutional clients. We have partnered with the bank to work on a net new role, Vice President, Compliance Advisory.
Position Overview
The Vice President will report to the Director, Regulatory Compliance and will work closely with the other Compliance team members with respect to regulatory change management and execution of the Bank’s compliance risk management program.
The Vice President will act as a regulatory specialist and compliance advisor with respect to key Canadian regulations such as the Canadian Bank Act, OSFI Guidelines, Privacy Act, and AML legislation. This will include researching & analyzing legal and regulatory topics to assist with the Bank’s responses to regulatory changes and/or to support ongoing compliance risk management and to develop strategies to respond to evolving regulatory expectations.
Role Responsibilities
- Providing Advisory counseling : VP will be responsible for providing subject matter expert support and advice to Canada Branch with respect to topics such as Bank Act, Privacy, OSFI Guidelines, conflicts of interest, confidential information, sales conduct, and other regulatory requirements and related compliance policies. VP will also be responsible to provide effective challenge and advisory support with respect to new products and business initiatives.
- Supporting RCM (regulatory change management) Design & Execution : VP will 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; Preparing periodic (annual, quarterly, monthly) Program related reporting
- Leading Compliance Projects: VP will design and execute various corporate compliance projects and Action Plans to remediate any compliance issues owned by Corporate Compliance Dept.
- Policy & Procedures Management: VP will be responsible for overseeing 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 : VP will be responsible for overseeing and supporting 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: VP may assist with a variety of ongoing compliance administrative procedures including regulatory filings and registrations (e.g., OSFI, FCAC), completion of required provincial/business/corporate registrations, and compliance committee activities, including scheduling, agenda management and minutes preparation.
Desired Qualifications
- 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) * If this applies to you, then two (2) years of progressive experience in a leading Canadian law firm, or as in-house counsel for a federally regulated financial institution is what we’re looking for.
- Overall, a minimum of three (3) years of Compliance experience in an OSFI or Securities regulated firm is required.
- 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.
This open role is currently being featured by Thorek/Scott and Partners We highlight a variety of open roles every week. If you save this position to apply to later, it may appear closed when you revisit it. For a full list of all open positions, please visit
..............................................................................................................................................................
We appreciate your interest in this role.
In sharing your resume, you place your trust in us to treat you with integrity and respect and act in your best interests. All resumes will be held in the strictest of confidence. Those who most closely meet our client’s requirements will be contacted for an interview.
Please pass this opportunity forward. We welcome all referrals should someone in your network benefit from this opportunity.
-
Vice-President, Corporate Compliance Advisory
3 weeks ago
Toronto, Canada Sumitomo Mitsui Financial Group, Inc. Full timeRole DescriptionReporting to the Director, Regulatory Governance ("Director"), the Vice-President, Corporate Compliance Advisory ("VP") works closely with other Corporate Compliance team members with respect to regulatory change management and execution of Canada Branch compliance risk management pr
-
Vice President, Compliance Advisory
1 week ago
Toronto, Canada ThorekScott and Partners Full timeYour Partners in Recruitment! Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our...
-
Vice President, Compliance Advisory
2 weeks ago
Toronto, Canada ThorekScott and Partners Full timeYour Partners in Recruitment!Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our...
-
Vice President, Compliance Advisory
1 week ago
Toronto, Canada ThorekScott and Partners Full timeYour Partners in Recruitment!Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our...
-
Vice President, Compliance Advisory
2 weeks ago
Toronto, Canada ThorekScott and Partners Full timeYour Partners in Recruitment!Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our...
-
Compliance Advisory Vice President
3 hours ago
Toronto, Ontario, Canada SMBC Group Full timeJob SummaryWe are seeking a highly skilled Compliance Advisory Vice President to join our team at SMBC Group. This role will be responsible for providing expert advice and guidance on regulatory compliance matters, ensuring that our organization remains in compliance with all relevant laws and regulations.Key ResponsibilitiesProvide subject matter expertise...
-
Compliance Advisory Vice President
30 minutes ago
Toronto, Ontario, Canada SMBC Group Full timeJob SummaryWe are seeking a highly skilled Compliance Advisory Vice President to join our team at SMBC Group. This role will be responsible for providing expert advice and guidance on regulatory compliance matters, ensuring that our organization remains in compliance with all relevant laws and regulations.Key ResponsibilitiesProvide subject matter expertise...
-
Compliance Advisory Vice President
1 week ago
Toronto, Ontario, Canada ThorekScott and Partners Full timeJob DescriptionThorek/Scott and Partners is seeking a highly skilled Compliance Advisory Vice President to join our team. As a key member of our Compliance Department, you will play a critical role in ensuring the Canadian Branch of a global bank remains compliant with all relevant regulations.Key Responsibilities:Regulatory Change Management: Monitor and...
-
Vice-President, Corporate Compliance Advisory
2 weeks ago
Old Toronto, Canada SMBC Full timePress Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Vice-President, Corporate Compliance Advisory Job Level: Vice President Location: Toronto, ON, CA, M5K 1H6 Employment Type: Full Time Requisition ID: 3627 Reporting to the Director, Regulatory Governance (“Director”), the...
-
Vice-President, Corporate Compliance Advisory
3 weeks ago
Old Toronto, Canada SMBC Full timePress Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Vice-President, Corporate Compliance Advisory Job Level: Vice President Location: Toronto, ON, CA, M5K 1H6 Employment Type: Full Time Requisition ID: 3627 Reporting to the Director, Regulatory Governance (“Director”), the...
-
Vice-President, Corporate Compliance Advisory
3 weeks ago
Old Toronto, Canada SMBC Full timePress Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Vice-President, Corporate Compliance Advisory Job Level: Vice President Location: Toronto, ON, CA, M5K 1H6 Employment Type: Full Time Requisition ID: 3627 Reporting to the Director, Regulatory Governance (“Director”), the...
-
Compliance Vice President
2 days ago
Toronto, Ontario, Canada TEKsystems Full timeJob Title: Compliance Vice PresidentRole Description: Reporting to the Director of Regulatory Governance, the Compliance Vice President will work closely with the Corporate Compliance team to manage regulatory changes and execute the compliance risk management program for the Canada Branch.Key Responsibilities:Advisory Counseling: Provide expert support and...
-
Compliance Vice President
2 days ago
Toronto, Ontario, Canada TEKsystems Full timeJob Title: Compliance Vice PresidentRole Description: Reporting to the Director of Regulatory Governance, the Compliance Vice President will work closely with the Corporate Compliance team to manage regulatory changes and execute the compliance risk management program for the Canada Branch.Key Responsibilities:Advisory Counseling: Provide expert support and...
-
Senior Vice President, Compliance Strategy
4 weeks ago
Toronto, Ontario, Canada SMBC Group Full timePosition Overview The Senior Vice President, Compliance Strategy is accountable for steering the compliance framework within the organization. Reporting directly to the Director of Regulatory Governance, this role involves collaboration with the Corporate Compliance team to manage regulatory transformations and implement the compliance risk management...
-
Vice-President, Corporate Compliance Advisory
4 weeks ago
Toronto, Canada SMBC Group Full timeRole Description Reporting to the Director, Regulatory Governance (“Director”), the Vice-President, Corporate Compliance Advisory (“VP”) works closely with other Corporate Compliance team members with respect to regulatory change management and execution of Canada Branch compliance risk management program. The incumbent is responsible for a...
-
Vice-President, Corporate Compliance Advisory
3 weeks ago
Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full timeRole Description Reporting to the Director, Regulatory Governance (“Director”), the Vice-President, Corporate Compliance Advisory (“VP”) works closely with other Corporate Compliance team members with respect to regulatory change management and execution of Canada Branch compliance risk management program. The incumbent is responsible for a variety...
-
Vice-President, Corporate Compliance Advisory
3 weeks ago
Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full timeRole Description Reporting to the Director, Regulatory Governance (“Director”), the Vice-President, Corporate Compliance Advisory (“VP”) works closely with other Corporate Compliance team members with respect to regulatory change management and execution of Canada Branch compliance risk management program. The incumbent is responsible for a variety...
-
Compliance - Assistant Vice President
3 months ago
Toronto, Canada MUFG Full time**Job Summary**: The Assistant Vice President will support the Vice President in overseeing the development and execution of a comprehensive compliance and AML/ATF framework that identifies, assesses and addresses all regulatory and legislative compliance risks, developing and implementing programs relating to the assets, employees, customers and reputation...
-
Vice-President, Corporate Compliance Advisory
2 weeks ago
Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full timeRole DescriptionReporting to the Director, Regulatory Governance (“Director”), the Vice-President, Corporate Compliance Advisory (“VP”) works closely with other Corporate Compliance team members with respect to regulatory change management and execution of Canada Branch compliance risk management program.The incumbent is responsible for a variety of...
-
Vice-President, Corporate Compliance Advisory
4 weeks ago
Old Toronto, Canada Sumitomo Mitsui Banking Corporation Full timeRole DescriptionReporting to the Director, Regulatory Governance (“Director”), the Vice-President, Corporate Compliance Advisory (“VP”) works closely with other Corporate Compliance team members with respect to regulatory change management and execution of Canada Branch compliance risk management program.The incumbent is responsible for a variety of...