Senior Compliance Officer, Monitoring and Detailed Regulatory Inquiries - GBM&t Compliance

Purpose

Contributes to the overall success of the Global Banking & Markets and Treasury ("GBM&T") Compliance Canada Program. The Senior Compliance Officer will work closely with the Senior Manager, GBM&T Compliance Canada Program, the GBM&T Compliance Canada team and a diverse set of stakeholders to provide ongoing support of the Global Banking and Markets ("GBM") and Group Treasury ("GT") Canada Compliance programs in line with Global Compliance's strategy and initiatives.

Support the execution of various components of the eight pillars of the GBM&T Compliance Canada program, including:

• • Support the development and maintenance of internal documents including procedures in support of the GBM&T Compliance Canada program

  • Assist with the coordination of third party and regulatory reviews/inquiries

  • Assist with the overall Integrated Regulatory Compliance Management ("iRCM") library build and enhancement activities for GBM and GT businesses, and GBM&T Compliance Canada

  • Support the Compliance Risk and Control Assessment ("CRCA") process for GBM & GT businesses and GBM&T Compliance Canada

  • Conduct monitoring for the GBM & GT businesses

  • Support and maintain the inventory of monitoring activities for the GBM & GT businesses

  • Assist the Senior Manager in providing engagement planning and ongoing test execution support to the GBM&T Compliance Canada testing team

  • Administer updates in the Global Issues Management system for regulatory Compliance events and issues as required

  • Assist with the preparation of GBM&T Compliance Canada reporting, and provide input for other Global Compliance reporting processes

  • Assist other team members and with ad hoc requests/provide support as needed in respect of other aspects of the GBM&T Compliance Canada Program, including delivering strategic change initiatives impacting the GBM&T Compliance Canada oversight program

  • Focus on developing a high level of understanding of the products, markets, systems, regulations and personnel necessary in order to exercise judgement to identify, diagnose, and problem-solve within the rules.

  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

  • Foster and maintain collaborative relationships with key internal and external stakeholders including Global Compliance, regulators and GBM business leaders to support the achievement of initiative deliverables and overall objectives

  • Maintain a high level of awareness of compliance related industry developments.

  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.

  • Actively 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 Code of Conduct.

  • Champions a high-performance environment and contributes to an inclusive work environment.

Education/Experience

• Post-Secondary education and/or professional designations

• Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course (CPH), Trader Training Course (TTC) and/or the Derivatives Fundamentals Course (DFC) preferred

• Minimum of 3-5 years of related experience at a financial institution and/or regulated securities dealer

• Excellent teamwork, interpersonal and conflict resolution skills

• In-depth knowledge of regulatory and compliance requirements

• Identify external market activity, news and additional factors that may influence trading activities

• Equities, fixed income, listed derivative and OTC derivative product knowledge

• A comprehensive understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and Universal Market Integrity Rules, Montreal Exchange Rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets

• Proficiency in excel macros, custom coding and desktop tool building capabilities preferred but not required

• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level

• Sound judgment in identifying risks in order to proactively escalate with relevant senior management

• Excellent oral and written communication skills