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Head of Compliance

Head of Compliance

Crédit Agricole GroupMontreal, Montreal (administrative region), Canada
21 days ago
Job description

Summary :

Reporting to the CACIB Americas Chief Compliance Officer, the Head of Compliance CASO will be primarily in charge of deploying and ensuring that the CASO’s compliance framework is in line with local regulatory expectations. The Head of Compliance CASO will help US CPL leads in selecting appropriate staff to build the CASO CPL supporting Hub and will manage this group. Additionally, the Head of Compliance CASO will act as local regulator(s) point of contact and serve as CASO Data Protection Officer.

Key Responsibilities :

Project Management

  • Lead and implement an adequate compliance framework in CASO to ensure local regulatory requirements are met, including but not limited to :
  • Bill 101 : Charter of the French Program
  • Bill 96 : the Act respecting French, the Official and Common Language of Quebec related to the Francization requirements
  • Bill 25 : Québec’s Protection of Personal Information in the Private Sector Act related to the Quebec Data Protection framework
  • Provide tracking, status updates, and related reporting on the various ongoing initiatives to local and US management;

Management

  • Serve as the CASO data protection officer
  • Manage relationship with the OQLF (Office québécois de la langue française)
  • Work closely with relevant subject matter experts to improve CASO compliance team efficiency
  • Manage local CASO compliance team;

    • Governance

  • Maintain an updated set of Compliance policies and procedures for CASO and oversee policy development with the expert Compliance Managers, as required to address CA regulators’ requirements
  • Maintain the regulatory risk matrix for CASO, incorporating applicable province and State regulations, and aligning procedures, controls, and management reporting
  • Monitor evolutions of the regulatory environment and assess potential impacts on existing processes and procedures
  • Contribute to the US Risk and Control Self-Assessment (RCSA) and related risk mapping;

    • Internal Reporting

  • Prepare and consolidate the contributions of CASO Compliance teams for all relevant committees, including the US Compliance management committee
  • Support CPL US hub by preparing contributions for the quarterly CMC
  • Serve as the point of contact for various Compliance Reports to be shared in the Region and / or for Local Governance Committees and forums;

    • Capital Markets

  • Responsible for the ongoing development, implementation, and refinement of a comprehensive compliance program in accordance with Canadian regulatory requirements
  • Communicate and implement new regulatory requirements and affect business and other functions / stakeholders to ensure compliance
  • Provide advice on relevant local regulations and internal policies and procedures to internal stakeholders
  • Evaluate new products and activities to ensure compliance attention points are identified and addressed.

    • J-18808-Ljbffr