Sun Life compliance director overseeing CIRO trade supervision and risk - based monitoring across mutual fund and securities businesses. Leading regulatory oversight, transformation, reporting, and a high - performing compliance team.
About the role
- Compliance Governance Manager leading Tru Cooperative Bank’s regulatory compliance framework, governance, oversight, and reporting. Supporting Member Advocacy and Privacy programs across Canadian locations.
Responsibilities
- Lead implementation and maintenance of the enterprise Regulatory Compliance Management (RCM) Framework
- Develop and maintain governance policies, procedures, standards, methodologies, and controls
- Execute RCM effectiveness assessments, regulatory risk ownership attestations, and issues management
- Monitor regulatory developments, supervisory expectations, and industry practices; assess impacts to the RCM Framework
- Provide guidance to first- and second-line functions on compliance management requirements, roles, responsibilities, and expectations
- Execute independent second-line oversight and challenge of first-line compliance risk governance, management, monitoring, and reporting
- Support compliance reporting, dashboards, KPIs, and KRIs for senior leadership, governance committees, and the Board
- Coordinate with adjacent second-line functions where compliance risk intersects with other risk domains
- Research banking laws and regulations and maintain the regulatory obligations inventory
- Develop and support compliance training, awareness activities, and tools
- Provide operational and program management support to Member Advocacy and Privacy programs, including regulatory change implementation, policy and procedure enhancements, requirements drafting, issues management, regulatory reporting, and examination readiness
- Report to the Director, Compliance & Member Advocacy
Requirements
- Bachelor’s degree (with a preference for law, audit or risk management) or equivalent combination of education/experience required
- 5+ years of experience in regulatory compliance, legal or related field required
- Compliance, governance, audit or risk management designations are an asset
- Experience supporting compliance governance, issue management, regulatory examinations, attestation programs, and executive or board reporting
- Expertise of regulatory and legislative environment for Federally Regulated Financial Institutions, including The Bank Act, FCAC, FATCA and OSFI Regulations and Guidelines
- Previous experience working in the compliance function within a Bank or Federally Regulated Credit Union is preferred
- Strong communication, influence, collaboration, and change management skills
- Strong understanding of OSFI E-13, RCM principles, governance frameworks, the three lines of defence and second-line oversight
- Ability to interpret laws, regulations, and supervisory expectations and translate them into practical internal policies, procedures, governance practices, and compliance management activities
- Ability to influence and challenge constructively across all levels of the organization
- Sound judgement and ability to develop strategic, innovative and pragmatic recommendations
- High degree of professional and ethical standards and integrity
- Excellent written, verbal, presentation and communication skills, with strong attention to detail
- Strong understanding of consumer protection laws under the Bank Act and FCAC regulations impacting Federal Credit Unions and Banks
- Strong knowledge of financial products and services
- Advanced change management and cross-functional collaboration skills
- Strong understanding of regulatory compliance data relationships, taxonomy, reporting requirements, and risk management system functionality
- Displays understanding of risk and risk ownership and adherence to policies and procedures
Benefits
- Hybrid work arrangement
- Overnight travel required 7–12 times per year
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