Senior Compliance Consultant strengthening Sun Life’s Canadian disability - management governance and risk controls. Leading audits, risk validation, business continuity, and compliance initiatives for Group Disability.
PG
Senior Advisor, Compliance and Regulatory Affairs
Posted 5 days ago
About the role
- Conseiller conformité senior chez PEAK, chef de file canadien du conseil financier indépendant. Gestion des enjeux réglementaires complexes et amélioration du programme de conformité.
Responsibilities
- Act as a senior subject-matter expert on regulations applicable to brokerage activities, particularly securities dealing.
- Analyze new requirements and contribute to their implementation across the organization.
- Lead or support complex compliance matters, including investigations, complaints, high-risk outside activities, conflicts of interest, matters involving vulnerable persons, product approvals, and other situations requiring in-depth regulatory expertise.
- Contribute to the governance and oversight of regulatory programs, including anti-money laundering (AML) and FATCA/CRS.
- Participate in the development, updating, and application of internal policies, procedures, and controls.
- Play a key role in preparing for and following up on regulatory examinations and coordinating resulting action plans.
- Contribute to audit and control activities and analyze identified trends and risks to recommend appropriate measures.
- Serve as a resource for compliance teams, supervisors, and management on complex regulatory matters.
- Participate in organizational projects involving regulatory considerations and support teams in identifying and managing compliance risks.
- Work closely with legal, operations, and business teams to analyze and resolve compliance issues.
- Support the CCO in analyzing regulatory matters, identifying compliance risks, and continuously improving the compliance program.
- Lead certain priority matters or initiatives requiring coordination across multiple functions within the department or organization.
Requirements
- Significant compliance experience in financial services, particularly securities brokerage.
- Excellent knowledge of regulations applicable to investment dealers, including CIRO rules and Canadian Securities Administrators (CSA) requirements.
- Strong understanding of securities activities and products, including equities, bonds, ETFs, structured products, and other investments.
- Experience interpreting and applying regulatory requirements and managing complex compliance matters.
- Completion of relevant industry courses, including the Canadian Securities Course (CSC) and training required or recognized for supervisory functions.
- Equivalent education or experience will be considered.
- Experience in brokerage supervision, trade surveillance, discretionary management, or regulatory audits is an asset.
- Excellent judgment and ability to analyze regulatory risks and formulate clear, pragmatic recommendations.
- Ability to independently manage sensitive or high-priority matters.
- Ability to explain regulatory requirements clearly and propose solutions suited to operational and business realities.
- Influential leadership and ability to collaborate effectively with compliance teams, supervisors, advisors, and management.
- Excellent verbal and written communication skills.
Benefits
- Hybrid work model: 3 days in the office and 2 days working remotely per week.
- Three weeks of vacation, five sick days, and one personal day per year.
- Comprehensive group insurance plan after three months of service, including medical and dental coverage, a health spending account, an employee assistance program, and telemedicine.
- Registered Retirement Savings Plan (RRSP) with employer contributions after three months of service.
- 20% discount on the OPUS transit card (equivalent to approximately two free months per year).
- Monthly social activities and team events.
- Professional development and career advancement opportunities.
- Modern offices with panoramic views in the heart of downtown Montreal, easily accessible by public transit.
- Free drinks and snacks available at the office every day.
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