Director, Compliance Tangerine Investment Funds Ltd.

Requisition ID: 256253

Tangerine is Canadas leading direct bank. We offer flexible and accessible banking options innovative products and award-winning Client service. The reason why Tangerine employees come to work each day is to help Canadians live better lives. We focus on making a difference in our communities and that includes our own internal community. Its important to us that our employees feel empowered and enthusiastic about belonging to our Orange culture.

At Tangerine were redefining banking. As Canadas leading digital bank we thrive on innovation agility and bold thinking tackling every challenge head-on with leading technology and the unstoppable power of collaboration.

Our client-obsessed teams deliver flexible accessible banking solutions breakthrough products and award-winning service. Beyond banking were committed to making an impact in the communities we serve and across our organization. We foster a culture built on integrity inclusion and fearless ambition where diverse perspectives are valued and people are empowered to do their best work.

Are you ready to disrupt the status quo Do you crave challenges that push boundaries If youre a high performer looking to accelerate your career and reimagine the banking landscape this is your moment.

Lets shape the future of banking together!

What you will be doing:

The Director Compliance - Tangerine Investment Funds Ltd (TIFL) leads and oversees the Compliance program for this business ensuring business strategies plans and initiatives are executed and delivered in complinace with governing regulations internal policies and procedures.

Is this role right for you In this role you will:

• Primary responsibilities including the monitoring of regulatory developments maintenance and updating of policies procedures and compliance systems testing and monitoring programs regular reporting to Senior Compliance and business management and the timely escalation of material compliance concerns;
• Support the implementation of an enterprise-wide strategy for effectively managing Compliance Risk in TIFL. Compliance Risk is defined to include regulatory compliance and adherence to ethical standards;
• Build a high-performance environment and implement a people strategy that attracts retains develops and motivates their team by fostering an inclusive work environment communicating vision values and business strategy and managing succession and development planning for the team;
• Maintain and promote effective relationships with key regulators of the business;
• Lead and drive a customer-focused culture to deepen client relationships and leverage broader Bank relationships systems and knowledge;
• Act as an expert resource and relationship manager between management of the business and the Compliance team.
• Assist on specific projects and provide thoughtful advice on transformational initiatives while promoting the concept of Compliance by Design
• Understand how the Banks risk appetite and risk culture should be considered in day-to-day activities and decisions.

Do you have the skills that will enable you to success in this role Wed love to work with you if you have:

• College Diploma or University Degree
• 5 or more years relevant experience in retail brokerage business
• Highly knowledgeable about the Banks businesses activities products & services and organization
• Able to assess difficult compliance and other regulatory issues exercise sound judgment expeditiously with respect to such issues and defend decisions with management of the businesses
• Able to effectively work with and influence business and other control functions personnel in the businesses to implement compliance-risk management initiatives
• Able to communicate effectively verbally and in writing with management of the businesses and local Compliance staff
• Strong knowledge of CIRO Mutual Fund Dealer and Investment Dealer regulatory framework;
• Passed the Canadian Securities course and Partners Directors and Senior Officers Qualifying Exam (PDO) and/or other required proficiency within the last three years or will pass them as a condition of employment;
• Broad in scope covering compliance risk (regulatory and conduct risk) across designated businesses operations.
• Compliance risk failures can attract heavy costs and penalties including damage to reputation. Accordingly there is a focus on advice and counsel a proactive approach prevention and problem resolution.
• Strong strategic influencing skills are necessary to effect change.
• Experience is important but ability to adapt to ever-changing business environments and grow into challenging new roles is equally important.

Whats in it for you

• You will be part of a diverse inclusive and purpose driven community of client- obsessed innovators who move fast push boundaries and celebrate big together.
• We are creating something game changing and you get to make your mark on it.
• You will have access to thousands of online and in person learning experiences at your fingertips to elevate your career and accelerate your development.
• From competitive benefits to programs that support your wellbeing and financial goals- we invest in you today and in your future.*

*Tangerine employees participate in Scotiabanks pension & benefits programs (available to permanent employees)

Location(s): Canada : Ontario : Toronto

At Tangerine we value the unique skills and experiences each individual brings to the team and are committed to creating and maintaining an inclusive and accessible environment. If you require accommodation during the recruitment and selection process please let our Recruitment team know.