Senior Compliance Manager
Salary CAD120,000 - CAD150,000 per year + bonus
Location Toronto, Ontario
Consultant Brady Jones
Date posted November 6, 2018First Canadian Place - 100 King St W, Suite 5600 Toronto, Ontario M6J 2X4 Robert Walters Canada
This is an exciting opportunity for a Senior Compliance Manager within the asset management division of a major international financial institution. The Senior Compliance Manager will be joining a team of compliance professionals in assisting with the management and operation of the regulatory compliance program. The successful candidate will be reporting directly to senior management and the Chief Compliance Officer on a wide range of compliance matters.
- Work with team in developing and implement compliance oversight policies and procedures;
- Ensure all employees are aware of and can identify applicable money laundering, terrorist financing, sanctions and reputational risks.
- Policy and procedures implementation;
- Liaise with and grow relationships with internal audit and regulatory bodies;
- Facilitate information requests and assist with internal and regulatory reporting;
- Trade monitoring to ensure regulatory compliance;
- Validating monitoring programs and strategies;
- Liaise with business management to design and implement changes to business policies and procedures;
- Assisting management with identifying and managing compliance risk, monitoring, reporting and certification
- The ideal candidate will have 8+ years of regulatory compliance experience (but this not preclude someone with more experience from applying for the role);
- Must have worked for a Canadian compliance regulator (e.g. IIROC, OSFI, OSC);
- At a minimum, must have a bachelor’s degree in Business, Finance, Accounting or similar field;
- Heavy preference that the candidate has a CFA designation or hold a JD/LLB;
- Experience at either an asset management company, exempt market dealer, portfolio manager or mutual fund manager
- Experience in AML/Terrorist financing, sanctions and securities regulation
- Proven ability to identify, solve and prevent regulatory issues;
- Detail oriented, well organized and proven decision-making ability; and
- Excellent oral and written communication skills are essential, as are strong interpersonal skills.