Title:  Senior Compliance Officer, Advisory - Canadian Wealth Distribution Compliance

Purpose

Contribute to the overall success of the Canadian Wealth Distribution Compliance team, ensuring specific individual goals, plans, initiatives are executed / delivered in support of business strategies and objectives.  Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.

• Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
•  Primary responsibilities include conducting advisory activities and investigations. 
• Support the Compliance team in its execution of a risk based regulatory compliance advisory program to help identify areas of regulatory compliance risk exposure.
• Research and/or investigate potential violations of regulations, policies and procedures and ensure effective remediation of non-compliance situations.
• Provide knowledgeable written and oral advice to the businesses on a variety of Compliance matters.
• Assist with regulatory filings, requests, and responses.
• Provide leadership, support and guidance within the Compliance team.
• Support the review of regulatory developments, the maintenance and updating of policies, procedures and compliance systems, regular reporting to the Compliance team and business partners and the timely escalation of material compliance concerns, assist with creating and providing training to Compliance teams or the business.
• Provide support in developing and monitoring designated businesses’ Compliance operations to ensure that regulatory risks are reviewed effectively and efficiently and in accordance with the firm’s Risk Appetite.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Actively pursue effective and efficient duties within their 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, and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, and the Guidelines for Business Conduct.
• Help support a high-performance environment and provide leadership within the team that helps retain and develop other team members, by fostering an inclusive work environment, communicating values and business ideas.
• Other responsibilities as assigned.

Education/Experience

• University or college degree preferable
• Minimum of 5 years relevant experience in the financial industry
• Experience in a supervision, regulatory compliance, audit or risk function an asset
• Relevant industry accreditations/courses such as (CSI) industry courses or equivalents an asset (i.e., Canadian Securities Course; Conduct and Practices Handbook Course; Derivatives Fundamentals & Options Licensing Course; Branch Managers Course)
• Excellent analytical and investigative skills with strong attention to detail
• Able to effectively work with business and other control functions to help implement compliance-risk management initiatives
• Highly knowledgeable about the businesses’ activities, products & services and organization.
• Able to assess difficult compliance and other regulatory issues, exercise sound judgment expeditiously with respect to such issues, defend decisions with the businesses.
• Able to identify areas of regulatory, reputational and conduct risk and escalate all issues appropriately.
• Able to communicate effectively verbally and in writing with the businesses and Global Compliance staff
• Disciplined work ethic and commitment to producing excellence in work output
• Ability to manage several ongoing projects and competing priorities concurrently
• Enthusiasm for making a positive impact to Wealth Distribution Compliance.
• Fluency in Spanish is considered an asset.