Manager, Governance & Strategy - Global Compliance Trade Surveillance (12 Month Contract)

Purpose

The objective of the Manager is to contribute to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance and support the development and management of the GCTS Governance and Strategy program in compliance with governing regulations, internal policies and procedures, Service Level Agreements and enterprise standards.

Accountabilities 

• Maintains strong knowledge and understanding of industry developments, leading practices, regulatory requirements, and associated changes relevant to the surveillance program, and supports the incorporation of regulatory changes, guidance, and expectations into applicable policies and procedures.
• Supports the ongoing monitoring and reporting of the state and effectiveness of the surveillance program through engagement with business, Compliance, and control functions, and through the preparation and review of management information, KRIs, KPIs, audit results, and regulatory findings.
• Identifies potential non-compliance, control gaps, emerging risks, and trends, and recommends appropriate actions to support timely remediation and continuous program improvement.
• Contributes to the development, implementation, and enhancement of governance processes, procedures, and controls supporting the GCTS Governance & Strategy program, incorporating regulatory expectations, industry developments, and leading practices.
• Coordinates and supports responses to internal audit and regulatory inquiries and examinations, including gathering and reviewing supporting documentation and data, tracking findings and action plans, and monitoring remediation and issue management activities through to closure.
• Organizes, facilitates, and participates in risk, control, and governance meetings, including coordinating with relevant stakeholders and maintaining appropriate meeting records and supporting documentation in accordance with recordkeeping requirements.
• Supports and contributes to regulatory initiatives, special investigations, and other projects, while maintaining effective and collaborative working relationships with business, Compliance, control functions, and the global GCTS team.
• Supports effective and efficient operations within areas of responsibility, applying the Bank’s risk appetite and risk culture and promoting adherence to applicable operational risk, regulatory compliance risk, AML/ATF risk, conduct risk, and related control requirements.
• Contributes to an inclusive and collaborative team environment by sharing knowledge, supporting team priorities, providing coverage where required, and contributing to the development and effectiveness of the broader team.

Education/Experience

• College Diploma or University Degree
• Current knowledge of securities regulations in Canada such as UMIR, National Instruments and IIROC Dealer Member Rules.
• At least 5+ years of related experience at a large financial institution or established securities or another financial services activity regulatory agency.
• Should be familiar with trading functionality and have comprehension and use of automated surveillance systems, including familiarity with middle and back office processes.
• In-depth knowledge of the securities industry, regulatory and compliance requirements, along with the potential issues that may arise within the applicable line of business.
• Experienced in the initiation, development and implementation of new policies and procedures.
• Knowledgeable about industry practices regarding institutional and retail compliance matters.
• An enquiring mind, excellent judgment, strategic thinking skills and attention to detail.