Senior Manager, Compliance

8 - 10 years experience  •  Financial Services

Salary depends on experience
Posted on 10/14/17
Toronto, ON
8 - 10 years experience
Financial Services
Salary depends on experience
Posted on 10/14/17

Purpose of Job:

Leads and oversees a Canadian Banking Compliance Program for Digital Factory and Tangerine Bank, in Global Compliance, Canadian Banking ensuring business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and procedures.

Key Job Accountabilities:

  • Oversee and monitor Canadian Banking regulatory compliance program to identify areas of regulatory compliance risk.
  • Provide support to the Director Compliance, Canadian Banking to monitor the businesses’ Compliance operations to ensure that regulatory risks are managed effectively and efficiently and in accordance with the Bank’s Risk Appetite.
  • Provide advice and counsel to the Digital Factory and Tangerine Bank with respect to regulatory compliance, products, programs, policies and procedures, for the range of products offered by the respective areas.
  • Identifies trends and/or gaps across businesses and reports findings with recommendations on how to improve the effectiveness of first line controls to the Director and Senior Management.
  • Works with the Digital Factory and Tangerine Bank to implement regulatory change, and to enhance controls for existing regulatory requirements.
  • Pro-actively identifies potential violations of regulatory requirements, internal policies and procedures, in a timely manner and makes recommendations to mitigate business, compliance and operational risk.
  • Supports the Digital Factory and Tangerine Bank in the assessment, identification of remediation plans, and monitoring to closure of compliance incidents. 
  • Works closely with counterparts in Compliance across Global Compliance to share best practices, avoid silos, and ensure consistency and alignment to the Enterprise Compliance Framework.
  • Maintains deep knowledge & understanding of industry issues and practices, regulatory requirements and associated changes.
  • Supports the development of internal policies aligned with applicable industry regulations and reflective of rule changes from various regulatory bodies.
  • Provide training to the businesses on emerging issues, regulatory trends, and industry best practices.

Education/Experience/Other Information:

  • Bachelor’s Degree with a minimum of 8years of relevant experience in the financial services industry, preferably within a regulatory compliance, audit or risk management function.
  • Excellent knowledge of digitalbanking as well as regulatory compliance requirements and risks applicable to banking;
  • Ability to drive success in a high performing, flexible and small/medium team environment.
  • Strong analytical and communication skills, results orientation and data driven approach in decision making;
  • Experience with providing insights to and interacting with the business;
  • Ability to communicate  clearly and effectively both verbally and in writing;
  • Experience in managing several ongoing projects and competing priorities concurrently;
  • Experience using analytics to identify areas of risk and opportunities for improvement.

Requisition ID: 7401.

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