Manager, Compliance
3 weeks ago
Overview Manager, Compliance role at TMX Group . This position reports to the Chief Compliance Officer, TSX Trust, and involves supporting the CCO in executing their mandate and managing assigned programs and/or processes. This role is hybrid (2 - 3 days/week in the office) and based in Toronto, ON. Key Accountabilities Provide guidance and advisory to Business on new and existing compliance issues and related policies and procedures. Monitor compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) and other AML laws and regulations. Assist Management in developing and implementing an assessment of inherent ML/TF risks. Support the CAMLO with escalated ML/TF risks and client risk assessments. Support the development and execution of independent second-line testing of key regulatory controls. Assist with day-to-day AML guidance to operational areas on the application of AML/OSFI compliance requirements. Prepare formal and informal compliance reports and other communications to the business units and board reporting material, on a regular or ad hoc basis as required. Provide guidance and advisory on matters related to materiality and compliance risk for any new or modified outsourcing or third party arrangements. Provide guidance and lead in the identification, implementation, and maintenance of the company’s privacy policies and procedures. Manage escalated regulatory complaints, including privacy related complaints. Support the CCO with escalated privacy risks and impact assessments. Track and monitor issues and actions, as assigned. Assist with special projects or investigations, as required. Ongoing monitoring of the performance of compliance programs and related activities on a continuing basis, taking appropriate steps to improve their effectiveness. Must Have Undergraduate degree, preferably in business, finance or law ACAMS, CFCS or equivalent certifications IAPP, CIPPC/C or equivalent certifications 5+ years progressive experience in Compliance Experience in an OSFI regulated environment required Expert working knowledge of compliance legislation including Anti-Money Laundering, Privacy, OSFI Guidelines and related best practices Strong working knowledge of the securities transfer regulations (US and Canadian industry standards) Strong working knowledge of privacy risk management (Federal and provincial) Working knowledge of other regulatory or legal requirements including provincial Unclaimed Property Proven ability to prioritize and juggle competing priorities Ability to apply judgment in decision-making without complete information Capacity for detail, critical thinking and decision making skills Strong presentation, written and verbal communication skills Strong interpersonal skills with the ability to interact across all leadership levels and with participant organizations and regulatory bodies Ability to work independently and in a team environment Excellent process and project management skills Seniority level Mid-Senior level Employment type Full-time Job function Legal Note TMX is committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide accommodations for applicants and employees who require it. #J-18808-Ljbffr
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