Senior Compliance Officer, Broker Dealer Testing (James)

Join a top global Canadian banking organization as they look to augment their compliance testing program for their broker-dealer.

Client Details

Client is a top, global Canadian banking firm.

Description

• Assist with developing and executing the annual Compliance Testing plan

• Determine the scope of reviews, build detailed review steps, and organize documentary evidence of the review

• Execute testing engagements and prepare reports to document exceptions and action plans

• Communicate deficiencies to the business and key stakeholders, exercising credible challenge

• Oversee the remediation of gaps identified in the testing process

• Build relationships with key stakeholders globally

• Assist in identifying areas for enhanced Monitoring, Testing, or training

• Develop Testing metrics and contribute to department reporting

• Support issues management development and tracking of Compliance-identified findings

• Support the development of a rules inventory covering applicable rules and regulations for TDS businesses

• Participate in special projects to enhance compliance functions

• Work closely with other support functions and business areas to foster a culture of compliance across the firm

• Contribute to annual compliance training requirements and regulatory change impact assessments as needed

Profile

• Bachelor's degree or progressive work experience

• 5-7 years of related experience

Preferred Qualifications:

• JD is desirable but not required

• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, with the ability to learn new areas while supporting them

• Excellent interpersonal, organizational, leadership, and communication (oral and written) skills

• Client service skills, with the ability to partner with and advise senior managers, line managers, and other stakeholders on regulatory interactions

• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues

• Project management skills and the ability to manage multiple work streams involving different partners and groups

• Ability to thrive in a fast-paced, deadline-driven environment, demonstrating excellent time management, planning, and the ability to handle multiple assignments simultaneously

• Ability to interact effectively with all levels of the organization and collaborate on teams of varying sizes

• A relationship builder with the ability to establish, develop, and maintain effective working relationships with regulators and business/functional partners

• Proficient in Word, Excel, and PowerPoint

Job Offer

Opportunity to join one of the few global banking organizations actively growing their US pressence.

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