Director of Compliance, Capital Markets
Salary CAD130,000 - CAD155,000 per year
Location Toronto, OntarioFULL_TIME
Consultant Brady Jones
Date posted February 4, 2019 2019-02-042019-03-17 financial-services Toronto, ON Ontario 145 King Street West, Toronto, ON CA M5H 1J8 CAD 130000 155000 155000 YEAR Robert Walters https://www.robert-walters.ca
This is a fantastic position, working in a stand alone position as a Director of Compliance, Capital Markets at a major international financial institution in downtown Toronto. The Director of Compliance, Capital Markets will be the business unit controls officer, working with the investment banking and capital markets team by providing compliance oversight, monitoring and training to the front office business. The Director of Compliance, Capital Markets will be reporting directly to head of the department on a wide range of compliance matters.
- Support the development and continued maintenance of a current and accurate Regulatory Library;
- Responsible for supporting the design and execution of monitoring and testing activities to assess the effectiveness of the regulatory compliance risk controls that are in place;
- Advise management and compliance when there are changes to the regulatory environment which may impact investment banking and / or the enterprise’s regulatory risk profile;
- Work with the business to support any required training requirements;
- Liaise with business management to design and implement changes to business policies and procedures; and
- Assisting management with identifying and managing compliance risk, monitoring and reporting.
- 5+ years of regulatory compliance experience;
- Must have in-depth knowledge of a Canadian compliance regulator (OSC, IIROC, OSFI), as they relate to capital markets activities, specifically relating to private/public controls relevant to investment banking;
- Experience with regulatory and compliance requirements applicable to Canadian investment banking activities;
- Prior experience providing regulatory controls oversight, including the development of effective controls and execution of monitoring activities;
- Experience working in the three Lines of Defence model and holding a compliance position within the first or second Line of Defence;
- Prior exposure to merchant banking activities is considered an asset;
- Experience in developing and supporting Written Supervisory Procedures for investment banking;
- Knowledge of Vockler requirements, as they relate to investment banking activities;
- Ability to assess detailed information and form opinions in relation to implications for capital markets activities;
- Proven ability to identify, solve and prevent regulatory issues;
- Excellent attention to detail, well organized and proven decision- leadership abilities; and
- Excellent interpersonal skills, ability to manage multiple stakeholder relationships, across the three Lines of Defence.
For further information please contact Brady Jones at firstname.lastname@example.org or (647) 288-2438.