Senior Compliance Manager
Senior Compliance Manager
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Job Description
Location: Toronto Canada (Hybrid)
This is a hybrid position primarily based in Toronto. Were committed to your flexibility and wellbeing and our hybrid strategy currently requires three days a week in the office giving you the option to work remotely for some of your working week.Find out more about our culture of flexible working
We give you a world of potential
Computershare has an exciting opportunity available for apermanent fulltime Senior Compliance Manager to join our brilliantly talented and collaborativeteam in our Toronto role offers a broad compliance scope that allows for creativity variety and the opportunity for growth and development.
A role you will love
Reporting to the Director Compliance the Senior Compliance Manager is responsible for managing aspects of the compliance program and the daytoday handling and reporting of compliance issues within Computershare Canada. This includes supporting the maintenance of an effective Regulatory Compliance Management (RCM) program in line with OSFIs Guideline E13. It includes supporting the Business Unit Compliance Officers and employees in the first line of defense in effectively meeting their compliance obligations. The role is also responsible for implementing actions required to improve the Compliance capabilities across the organization in order to ensure compliance with applicable laws regulations and guidelines relevant to the activities of the business. It includes supporting assessing monitoring and testing of the first line of defense to ensure measures are in place to identify assess mitigate and reduce risks including regulatory compliance risks across the Canadian business.
The Senior Compliance Manager is responsible for assisting the Director Compliance and the Chief Risk and Compliance Officer with the implementation and maintenance of the compliance programs including identification of regulatory change obligations; policy development implementation oversight and testing; supporting key internal business partners; and handling regulatory inquiries and external client issues.
Other key responsibilities include:
- Identifying measuring monitoring and reporting on the compliance risks independently of the business lines or operational management.
- Assessing the adequacy of adherence to and effectiveness of the daytoday controls and reporting on whether the regulatory compliance controls are sufficiently robust to achieve compliance with the applicable regulatory requirements.
- Driving and embedding best practice compliance management across the Canadian business providing subject matter expertise on changes or deficiencies requiring remediation to support a strong Compliance program.
- Supporting the preparation of quarterly Compliance board reports for the Chief Compliance Officer.
- Monitoring of compliance regulations and supporting changes to Canadian programs/policies partnering with internal legal counsel where appropriate.
- Driving and embedding a compliance culture and the promotion of legal/regulatory compliance throughout Computershare.
- In accordance with the broader enterprisewide Regulatory Compliance Management (RCM) program facilitating periodic assessments of key compliance risks assess the design effectiveness of controls providing independent review and challenge of risk and selfassessment results.
- Supporting internal and external audits and respond to compliancerelated audit findings in a timely manner.
- Coordinating and responding to client and regulatory compliance inquiries as may be required.
What will you bring to the role
New thinking and great ideas are vital to our culture ofgrowthand well make sure you have the support to be a driving force for change.
Required:
- Strong experience in a compliance role within the financial services industry
- Working knowledge and understanding of the Trust and Loan Companies Act and OSFI guidelines AML/ATF and Sanctions regulations as well as privacy laws and regulations securities laws rules and regulations.
- Experience in supporting and guiding Business Unit Compliance Officers (BUCOs) in the first line of defense
- Experience with implementing regulatory change initiatives and administering compliance testing and reporting
Preferred
- Certified AntiMoney Laundering Specialist (ACAMS certification) and/ or recognized compliance certificate or equivalent
- Bilingual in French
- Knowledge and experience using Ethidex Compliance Management and / or RSA Archer GRC systems
- Knowledge and experience using LexisNexis Bridger
Rewardsdesigned for you
Flexible workto help you find the best balance between work and lifestyle.
Health and wellbeingrewards that can be tailored to support you and your family.
Invest in our businessby setting aside salary to purchase shares in our company and youll receive a company contribution as well.
Extra rewardsranging from recognition awards and team get togethers to helping you invest in your future.
And more.Ours is a welcoming and closeknit community with experienced colleagues ready to help you grow. Our handbook will help you find out more about our rewards and life at Computershare visit #LIHybrid
Required Experience:
Manager
Employment Type
Full-Time
