100 King Street West Toronto Ontario,M5X 1A1
The Enterprise Compliance Program Management Team (CPM) is a central compliance governance function that establishes, implements, and administers frameworks/processes that support the Compliance function.
The Senior Compliance Manager will assist in the implementation, maintenance, and administration of the Enterprise Compliance Program (ECP). This is an individual contributor role to support program execution and ensure the completion of activities in alignment with established ECP framework and methodologies. Activities include, but not limited to:
Supports the implementation of program enhancements and works with internal partners to develop communication model/strategies related to the enhancement activities.
Coordinates, performs and support activities across various areas of the program such as risk assessments, monitoring and testing, quality assurance, issues management, training, Third-Party, and implementation of new/revised programs/processes to ensure program remains current and aligned with ECP framework and regulatory expectations.
Identifies risks associated with program elements or relevant activities that impacts the Bank's ability to manage regulatory compliance risk and implements appropriate actions to mitigate them.
Develops and maintains compliance information for analysis and reporting.
Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments.
Maintains functional and regulatory expertise specific to business group and refers to Compliance Policies & Procedures manuals for requirements.
Performs quality assurance on compliance activities and data in GRC tools to determine adherence to ECP framework and relevant methodologies.
Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
Identifies, assesses, and resolves issues related to CPM business unit, including ensuring adequate management remediation plans and validation.
Performs, coordinates and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements.
Supports the execution of Compliance strategic initiatives in collaboration with internal and external stakeholders.
Leads/participates in the design, implementation and management of core business/group processes.
Oversees the implementation, maintenance and monitoring/ reporting of all policies, guidelines, procedures and compliance programs, provides advice/rulings as necessary, for one or multiple complex function(s)/activity(ies).
Analyzes data and reports compliance information to Compliance and business/group management.
Ascertains ECPT training needs and helps develop training to support compliance activities.
Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.
Assists business group management in communicating and implementing changes to applicable compliance activities, policies and procedures, trainings and related systems and tools.
Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.
Builds effective professional relationships with business/groups.
Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
Applies expertise and thinks creatively to address unique or ambiguous situations and to find solutions to problems that can be complex and non-routine.
Implements changes in response to shifting trends.
Broader work or accountabilities may be assigned as needed.
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