The Compliance Assurance function is a part of the second line of defense and is responsible for providing independent assurance regarding the adequacy, effectiveness, and sustainability of regulatory risk management and control processes to ensure regulatory, customer, and reputational risks are sufficiently mitigated.
The Compliance Manager’s primary responsibility is to assist in the planning and delivery of assigned assurance reviews and / or audits of commercial and wealth / investment business units and / or thematic regulatory compliance programs.
Role holders are expected to foster proactive and professional relationships with business units and provide robust and challenging insight on business risk and control processes.
This is an individual contributor role.
The Compliance Manager role within the Compliance Assurance function will be responsible for the following :
- Perform review planning activities to support the development of appropriate risk-based review objectives to assess adequacy and effectiveness of business unit compliance processes and controls.
- Conduct walk through’ interviews with key business unit individuals to identify and document key processes, risks, and controls.
- Design and execute detailed testing approaches for review assignments within established timelines.
- Clearly communicate with the review lead and key stakeholders throughout the review to present potential issues or constraints and to ensure timely and transparent discussion.
- Synthesize testing results into meaningful outcomes and ensure sound conclusions are reached for assigned review objectives in accordance with regulatory requirements and expectations.
- Engage business line management relative to review findings and issues to influence necessary change and ensure adequacy of corrective actions / plans.
- Perform ongoing oversight of Compliance Assurance raised issues to ensure adequate, effective, and sustainable resolution by the issue owner(s)
Qualifications
- 5 + years previous experience in regulatory compliance risk management, compliance audit, or similar role
- Ability to problem-solve, innovate, and develop creative testing approaches.
- Strong regulatory knowledge, understanding of commercial or investment business lines and risk management skills.
- Ability to effectively communicate (verbal and written) with all levels of management and with team members.
- Demonstrated teamwork and excellent organizational and computer skills.
Education / Certification :
- Bachelor’s Degree required
- Professional certification or license in regulatory compliance or internal audit preferred (. Certified Regulatory Compliance Manager, Certified Internal Auditor)
Hours & Work Schedule : Hybrid 3 days in the office, 2 remote
- Hours per Week : 40
- Work Schedule : Monday-Friday
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