Vice President, Mid-Market Leverage Finance, Corporate Client Group

Job Title : Vice-President, Corporate Compliance Advisory

Role Description : Reporting to the Director of Regulatory Governance, the Vice-President, Corporate Compliance Advisory (VP) will work closely with the Corporate Compliance team to manage regulatory changes and execute the compliance risk management program for the Canada Branch.

Key Responsibilities :

• Advisory Counseling : Provide expert support and advice on topics such as the Bank Act, Privacy, OSFI Guidelines, conflicts of interest, confidential information, sales conduct, and other regulatory requirements. Offer effective challenge and advisory support for new products and business initiatives.
• Regulatory Change Management (RCM) Design & Execution : Lead activities including monitoring and responding to regulatory changes, maintaining compliance regulations and controls libraries, coordinating regulatory compliance risk assessments, managing compliance issues, and preparing periodic program-related reports.
• Compliance Projects : Design and execute corporate compliance projects and action plans to address compliance issues.
• Policy & Procedures Management : Oversee the management of compliance-related policies and procedures, liaising with the central policy management team and coordinating policy management activities for the Canada Branch.
• Data Governance : Oversee and support key elements of compliance data governance, including managing the inventory of compliance end-user computing assets, compliance metadata, and reporting databases, and supporting continuous improvement activities.
• Corporate Compliance Administration : Assist with ongoing compliance administrative procedures, including regulatory filings and registrations, completion of required provincial / business / corporate registrations, and compliance committee activities.

Role Objectives :

Qualifications and Skills :

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