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Regulatory Compliance Manager

1 month ago

Toronto, Canada Exchange Bank of Canada Full time

Exchange Bank of Canada (EBC) is a Schedule 1 bank headquartered in Toronto, Canada.


Discover the opportunity to join an international, dynamic, and responsible bank that fosters the development of all its employees. Every day, we empower employees to achieve more. As we are a new bank in Canada, each employee is given a unique experience and great opportunities for a career growth.


As a specialist in wholesale foreign exchange services, EBC provides a wide range of foreign currency exchange and international payment services to financial institutions and corporations tailored to streamline processes and delivered with unparalleled customer service. To learn more, visit our website at:


Our Value Statement: We help our clients identify and create foreign exchange solutions, delivering a best practices approach through unparalleled customer service and integrated technology to create significant financial and operational efficiencies.


Our Values:

  • Customer First - We earn the right to be our clients’ first
  • Integrity - We hold ourselves to the highest standard to build trust.
  • Collaborative - We always win as a team.
  • Innovative - We find new methods to deliver change and advance technology to the industry.
  • Passionate - We are driven to be the best in class.


Exchange Bank of Canada is seeking a driven professional, with strong attention to detail to join their team as a Regulatory Compliance Manager


Role Purpose:

The Manager Regulatory Compliance will work closely with the various EBC business/functions to fulfill EBC’s Regulatory Compliance commitment to OSFI under the E-13 Guideline. The Manager Regulatory Compliance is responsible for conduct of regulatory compliance monitoring & testing, perform oversight over the various EBC processes as conducted by EBC business/functions, review of the regulatory controls and assist in strengthening of EBC’s Regulatory Compliance Management (RCM) Program alongside the AML & RCM Senior Manager (“Senior Manager RCM”).


The incumbent will assist the Senior Manager RCM in ensuring adherence with the OSFI guidelines, the Bank Act, FCAC and AML related requirements (“Regulatory Requirements”) applicable to the Bank. The incumbent will be involved in successful application of monitoring, testing and reporting that contributes to the CCO’s reporting on the overall status of EBC’s RCM Compliance program. The incumbent will also work closing with the Senior Manager RCM to assist with and manage the Regulatory Compliance Management (RCM) program, monitoring of regulatory developments, the maintenance and updating of policies, procedures and compliance systems, testing and monitoring programs for the bank, regular reporting to Senior Management, the timely escalation of material compliance concerns and providing expert compliance advice to the Bank.


Essential Functions:

  • Assist with monitoring regulatory and industry developments to ensure that the RCM Compliance program remains current and adequate.
  • Assist the Senior Manager RCM with developing, maintaining and implementing internal/self-assessments of inherent risks specific to the Bank’s business activities.
  • Assist with completing ongoing reviews and internal audit requests.
  • Assist the Senior Manager RCM and CCO with the preparation of reports to the Bank’s senior management respecting the adequacy of the business area’s adherence to Regulatory Requirements and the Bank’s overall RCM Framework.
  • Such other tasks that may be assigned and/or delegated by the Senior Manager RCM and/or the CCO from time-to-time.
  • Manage and maintain the Bank’s RCM Framework, which includes the policy and procedures for ensuring regulatory compliance, including the AML/ATF program for the Quality Assurance Methodology.
  • Manage and execute the annual Regulatory Risk Assessment together with the Senior Management of the Bank.
  • Assist the CCO and Senior Management (as applicable) in identifying, assessing, monitoring and reporting on regulatory compliance risk, in accordance with the RCM Framework.
  • Assist the Senior Manager RCM with compliance testing and the monitoring program regarding applicable regulatory requirements, including testing the functionality and efficiency of, and adherence to established policies and controls to mitigate Regulatory Compliance Risks.
  • Assist the Senior Management in reporting on the status of the Bank’s compliance, new regulatory requirements, compliance issues and action plans, and the Bank’s compliance with the RCM Policy and RCM Framework.
  • Input and maintenance of risk rating, and results of the Monitoring and Testing program in the Bank’s GRC tool, Ethidex, including deriving relevant Senior management and Board reporting data.
  • Responsible for developing, managing and executing QA/Self Assessment testing and monitoring plans that align with the Bank’s RCM Compliance Program.
  • All other duties as assigned by the CCO and CAMLO.


Required Education and Experience:

  • Bachelor’s Degree or equivalent combination of education and/or experience.
  • Minimum of 3 years of RCM experience and preferable 3 years of AML.
  • Minimum of 3 years with Manager-level responsibilities.
  • Prior experience in QA testing, Internal Audit and/or regulatory reviews.
  • Analytical and has the ability to provide practical solutions and prioritize a diverse workload with multiple deadlines.
  • Highly flexible and detail-oriented with the ability to multi-task and change directions based on business demands.
  • Work smart by managing multiple priorities with strict deadlines.
  • Have a passion for ensuring the accuracy of record keeping and reporting to mitigate risk.


Qualifications & Skills:

  • Strong knowledge of all Regulatory Requirements and industry expectations
  • Knowledgeable in Risk Management, Compliance and Governance requirements and standards
  • Knowledge of RCM and experience in execution of Monitoring and Testing.
  • Understanding of the practical application of relevant AML Regulatory Requirements to Canadian Financial Institutions
  • Experience building out testing plans and executing on QA/Self-Assessment accountabilities
  • Previous experience working in Compliance, AML, risk, or audit role
  • Comfortable dealing with individuals at all levels of the Bank
  • Excellent communication skills, both verbal and written
  • Detailed oriented with multi-tasking, analytical, time management and organizational skills
  • Willingness to continuously upgrade skills and stay informed of regulatory changes and best practices in the financial industry
  • Proficiency with Microsoft Office products and various GRC tools
  • Knowledge of the Payment is an asset.


Competencies:

  • Business Insight
  • Optimizes Work Processes
  • Decision Quality
  • Navigating Challenging Conversations & Conflict
  • Builds Effective Team
  • Functional Management Skills


Position Type/Expected Hours of Work :

This is a full-time position. Days of work are Monday through Friday. Occasional evening and weekend work may be required as job duties demand.


Benefits:

  • Commuter Reimbursement - EBC will pay the toll, bus or metro cost in and out of work
  • Holiday Pay - Paid day off for 11 designated holidays throughout the year
  • Paid Vacation Time Off
  • Paid Sick/Personal Time Off
  • Health/Dental/Vision Basic Life, AD/D, and Short/Long-Term Disability
  • RRSP - Company matches up to 5%


Please attach your resume for submission.


Exchange Bank of Canada is committed to providing a fair and inclusive interview process for all candidates. We invite and support applications from individuals with disabilities. Accommodations are readily available upon request to ensure that candidates can fully participate in every stage of the selection process.