Manager, AML/ATF Compliance
2 weeks ago
Job Description
:We are searching for a talented candidate who is looking to leverage their extensive Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) knowledge and Wealth Management / Retail Brokerage experience to help ensure the effective management of the AML/ATF Compliance Team supporting Sun Life Canada Securities Inc. (SLCSI). This is a 12-month contract position.
What will you do?
Manage the centralized AML/ATF program across all Canadian Business Units and functions, including maintenance of policies and procedures, monitoring performance of the program and resources, and completion of associated reporting
Manage internal and external regulatory reporting obligations, including Suspicious Transaction Reports (STR) and Electronic Fund Transfers (EFT)
Providing effective coaching and development to team members on interpreting reports received from the BU and the Tier One and Tier Two Supervision areas for the purposes of conducting AML/ATF investigations of unusual and potentially-suspicious transactions
Collaborate with the Regulatory Compliance Management & Policy team to review and assess AML/ATF regulatory developments and changes as part of the formal Regulatory Change Management process in Canadian Compliance
Act as a subject matter expert and ‘go to’ person for AML/ATF requirements and developments affecting SLCSI
What do you need to succeed?
A minimum of 7+ years of progressive experience in regulatory compliance, with a passionate focus on AML/ATF compliance in the securities / retail wealth management sector
Knowledge of products and services in the retail securities distribution space and knowledge of CIRO requirements
Successful completion of related professional development courses (i.e., CSC, CPH, OPD, CCO)
Undergraduate degree
Law degree or Regulatory Compliance Management certificate is an asset
Sound coaching and performance management skills
In depth working knowledge of AML/ATF governing legislation, related regulations and guidelines, including PCMLTFA and related Regulations, Criminal Code of Canada, United Nations Act and related Resolutions / Regulations, SEMA, JVCFOA, FINTRAC and CIRO guidelines and international guidance and best practices such as FATF Recommendations and EU Directives
In depth understanding of money laundering and terrorist financing issues and current developments/techniques
Very strong analytical and problem solving skills, with the ability to influence change
University education - preferably in law, finance or relevant advanced degree, and current AML/ATF certification (eg. CAMS)
Excellent attention to details with high level of accuracy
Strong understanding of STR process and regulatory requirements related to filing STRs
Preferred skills
AML/ATF Knowledge
Wealth Management / Retail Brokerage expertise
Teamwork
Critical Thinking and Analysis
Problem solving
Communication
Strategic Thinking
What's in it for you?
Being a member of the Sun Life family, a group of people united by our Purpose: to help Clients and Employees achieve lifetime financial security and live healthier lives
We’re honoured to be recognized as a 2023 Best Workplaces in Ontario by Great Place to Work® Canada
The opportunity to move along a variety of career paths with amazing networking potential
Fluid workspaces where you can choose from a variety of workstations, offices and collaboration zones based on your daily needs
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