Compliance Officer, GBM&T Compliance Program

Compliance Officer, GBM&T Compliance Canada Program

Requisition

Join a purpose driven winning team, committed to results, in an inclusive and high‑performing culture.

Purpose

Contributes to the overall success of the Global Banking & Markets and Treasury ("GBM&T") Compliance Canada Program. The Compliance Officer will work closely with the Senior Manager, GBM&T Compliance Canada Program, the GBM&T Compliance Canada team and a diverse set of stakeholders to provide ongoing support of the Global Banking and Markets ("GBM"), Group Treasury ("GT") and Global Transaction Banking ("GTB") Canada Compliance programs in line with Global Compliance’s strategy and initiatives.

Accountabilities

Support the execution of various components of the eight pillars of the GBM&T Compliance Canada program, which includes the following:

• Conduct routine monitoring for the GBM & GT businesses
• Support the development and maintenance of internal documents including procedures in support of the GBM&T Compliance Canada program
• Assist with third party and regulatory reviews/inquiries when necessary
• Support and maintain the inventory of monitoring activities for the GBM, GT and GTB businesses, including but not limited to annual reasonability review and quarterly coverage gap reviews
• Assist with the preparation of GBM&T Compliance Canada reporting, and provide input for other Global Compliance reporting processes
• Assist other team members and with ad hoc requests/provide support as needed in respect of other aspects of the GBM&T Compliance Canada Program
• Focus on developing a high level of understanding of the products, markets, systems regulations and personnel necessary in order to exercise judgement to identify, diagnose, and problem‑solve within the rules.
• Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Foster and maintain collaborative relationships with key internal and external stakeholders including Global Compliance, regulators and GBM business leaders to support the achievement of initiative deliverables and overall objectives
• Maintain a high level of awareness of compliance related industry developments
• Understand how the Bank’s risk appetite and risk culture should be considered in day‑to‑day activities and decisions
• Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day‑to‑day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Code of Conduct
• Champions a high‑performance environment and contributes to an inclusive work environment

Education/Experience

• Post‑Secondary education and/or professional designations
• Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course (CPH), Trader Training Course (TTC) and/or the Derivatives Fundamentals Course (DFC) or related experience at a financial institution and/or regulated securities dealer would be an asset
• Excellent teamwork, interpersonal and conflict resolution skills
• In‑depth knowledge of regulatory and compliance requirements
• Identify external market activity, news and additional factors that may influence trading activities
• Equities, fixed income, listed derivative and OTC derivative product knowledge would be an asset
• A comprehensive understanding of the CIRO Universal Market Integrity Rules, CIRO Investment Dealer and Partially Consolidated Rules and Montreal Exchange Rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets
• Proficiency in excel macros, custom coding and desktop tool building capabilities preferred but not required
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level
• Sound judgment in identifying risks in order to proactively elevate with relevant senior management
• Excellent oral and…