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Purpose
Contributes to the success of the execution of the Global Communications Supervision Procedures on behalf of GBM Internal Controls to ensure compliance with the Code of Conduct, internal policies & procedures, Global FX Code, industry standards and applicable regulatory requirements.
Ensures all activities are conducted in compliance with governing regulations, internal policies, and procedures.
Accountabilities
- Customer Focused Culture: Champions a customer-focused culture and leverages broader Bank relationships, systems and knowledge.
- Business Knowledge: Maintains expert knowledge of Bank processes, policies, procedures, applications and products related to Global Communications Supervision Procedures and applies this knowledge in the review and analysis of Level 1 communication surveillance activities.
- Global Communications Supervision: Executes GBM Communication Supervision Procedures, reviews Flagged Alerts for, among other things, identify potential non-compliant behaviors and lack of compliance with Bank policies. This includes:
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- Performing review, assessment, disposition and documentation of alert reviews in accordance with GBM Communication Supervision Procedures and standard times.
- Warranting the confidentiality of the information is always maintained and ensuring that recording review results are concise and accurate.
- Performing timely escalation and documentation of alerts to Level 2 teams when required according to escalation procedures.
- Maintain expected productivity and quality standards as defined through performance metrics.
- Actively identify process, technology and systems improvement opportunities, and participate as appropriate in the implementation process.
- Relationship Management: Develops and maintains strong relationships with GBM Internal Controls and applicable support and control functions to remain current on new developments and emerging risks.
- Other Projects and Activities: Manages/Performs ad-hoc, unique and/or focused reviews as necessary; and other duties and projects as assigned
- Risk Appetite and Risk Culture: Understands how the Bank’s risk appetite and culture should be considered in day-to-day activities and decisions.
- Regulatory and Operational Risks: Contributes/Creates an environment in which he/she pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
Education / Experience
- Strong problem solving, critical thinking, and negotiating skills
- Strong written and verbal skills (must be able to prepare documentation and interact effectively with other Bank departments)
- Good accountability and time-management skills
- Thorough knowledge of Bank's regulations, policies, procedures, operations, and functions (preferred but not required)
- Working knowledge of the roles and responsibilities of Global Banking & Markets business units and related business functions across Canadian & International Banking units including various delivery channels.
- Highly motivated; demonstrated ability to multi-task and deliver in a fast-paced, challenging and dynamic business environment
- Strong proficiency of Excel.
- Bachelor’s degree in business management, finance or accounting.
Bilingual (Spanish / English).
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