Compliance Advisor

4 weeks ago

North York, Canada Shinhan Bank Canada Full time

Primary Purpose of the Role/Job

The Advisor, Compliance, will report directly to and assist the Director, Compliance (RCM) in matters relating to applicable laws and regulations such as the Bank Act (“BA”); Accessible Canada Act; Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations (“PCMLTFR”) including FINTRAC Guidelines; CDIC Deposit Insurance Information By-law; Income Tax Act; Canadian Labour Code; Personal Information Protection and Electronic Documents Act (“PIPEDA”); OSFI Guidelines – E-13, Corporate Governance, etc.; FCAC’s Financial Consumer Protection Framework (“FCPF”) and other FCAC Regulations.

 

Key Responsibilities & Accountabilities 

  • Monitor specified regulatory websites for significant changes in legislation and advising business units of new regulatory requirements in a timely manner
  • Manage prompt upload of periodic updates received from Ethidex and notify applicable business unit. 
  • Manage timely monitoring and validation testing of business unit self-assessments in Ethidex, as per established Plan
  • Perform and document operational effectiveness of the assigned RCM Compliance control objectives with evidence based self-assessments
  • Monitor, review and record customers’ complaints as required under Financial Consumer Protection Framework (“FCPF”)
  • Periodically update Compliance training material as per Plan and monitor for effectiveness
  • Create and submit timely and accurate regulatory reporting, e.g. - OSFI Corporate returns (RRS), CDIC reports, FCAC portal
  • Coordinate monitoring and reporting on the Bank’s Accessibility Plan and Goals Tracker
  • Obtain applicable annual attestation and related party questionnaire from all members (Board of Directors) and senior management (SMs)
  • Manage and promptly respond to any claims and official requests such as Court orders and external letters from the CRA, Police and/or other law enforcement
  • Assist in Declaration of Tax Residence (“DTR”) management/reporting
  • Support the Compliance function through accurate and timely oversight of Bank’s policy and procedures database in S-BASIC
  • Support the preparation of the Governance and Conduct Review Committee (“GCRC”) meeting minutes, presentation materials, and inputs to the CCO Report to Board and Senior Management including monitoring of Ethidex Remedial Action Plan
  • Ensure timely communication and reporting on RCM Compliance matters to the Parent Bank
  • Support the Compliance function through prompt completion of sundry duties, as assigned

 

Education Requirements 

 

Bachelor’s Degree or graduate degree in business, finance, law or a related field required

 

Work Experience Requirements

  • 3 - 5 years of experience in financial services industry or equivalent 
  • Control / monitoring function is considered a significant asset
  • Ability to interpret and operationalize regulatory requirements
  • Effective and efficient communication skills – verbal and written are essential for this role
  • Strong attention to detail, problem-solving and analytical skills
  • Demonstrated experience working with highly confidential information
  • Strong time management skills – able to effectively prioritize work assignments
  • Ability to effectively present findings and recommendations; recognizing when matters require escalation to Director, Compliance

 

Language Requirements

 

Required:English

Preferred: Korean

 

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