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 and controls lead strengthening first-line risk programs for Tru Cooperative Bank, a British Columbia financial cooperative. Overseeing compliance testing, vendor risk, change management, remediation, and operational improvements.
Responsibilities
- Support Operations and Leadership in implementing, maintaining, and administering first-line-of-defense programs
- Oversee business operations within the jurisdiction for adherence and efficiency
- Build relationships with internal and external stakeholders and track exception or exemption requests and approvals
- Facilitate training, presentations, communications, practical tools, and ongoing support to promote risk identification and management
- Provide daily supervision and compliance advice to member-facing teams
- Verify implementation of controls identified in RCSAs and maintain process maps and a controls library
- Design and oversee testing for control gaps and regulatory, policy, and best-practice non-compliance
- Analyze risk exposures, support risk-mitigation action plans, and develop and monitor KRIs
- Escalate potential issues and exceptions to senior management
- Conduct vendor materiality assessments, due diligence, and risk assessments for third-party risk management
- Ensure due-diligence documentation and key-control communications are maintained
- Oversee change-management requirements, frameworks, tools, templates, and plans
- Identify, assess, document, escalate, and mitigate change-related risks
- Ensure affected processes are mapped and guidelines and procedures are created or updated
- Lead or support project execution, harmonization, and continuous-improvement initiatives
- Support development of a content-management framework for strategic and risk-management initiatives
- Provide operational subject-matter expertise to Agile squads for Compliance and PGPP
- Work with process, project, and initiative owners during Agile sprints
- Ensure regulatory, AML, Privacy, Cyber, financial, credit, and operational risk assessments are completed and shared with Risk
- Monitor performance, address issues, and track incident, cleanup, and restoration costs
- Oversee evaluation, development, and implementation of the internal control system
- Facilitate remediation and cleanup projects related to FINTRAC, BCFSA, OSFI, FCAC, CRA, and other operational compliance risks
- Ensure Risk team recommendations are reviewed, implemented, and tracked by the first line
Requirements
- Two-year College, Trade, or Tech School Diploma in a related discipline required
- Risk Management Certificate/Designation preferred
- 5 years of related experience in Operations and/or Risk Management required
- Strong knowledge of project management
- Leadership experience preferred
- Understanding of Operational Risk Management measurement and reporting preferred
- Critical thinking, analytical, and problem-solving skills preferred
- Business acumen and understanding of operational risk impacts on business performance and member experience preferred
- Financial services industry experience with exposure to business functions and integrated credit union/business systems preferred
- Ability to work independently and collaboratively in a team environment
- Ability to develop strategies and translate them into tactical plans
- Effective verbal and written interpersonal and communication skills
- Organizational skills and ability to balance multiple responsibilities and meet deadlines
- Knowledge of risk management and processes
- Strong understanding of internet and web-based applications
- Operational expertise with various financial services systems
- Knowledge of FI policies, procedures, products, and services
- Understanding of risk and risk ownership, including adherence to policies and procedures
- Background check may include employment verification, credit check, and criminal record check
Benefits
- Mental health coverage and resources
- Customizable health benefits
- Topped-up parental leave
- Performance-based compensation
- Employee banking advantages
- Group RRSP matching
- Vacation time
- Flexible work arrangements
- Paid time off to volunteer
- Award-winning in-house training programs
- Access to LinkedIn Learning
- Reimbursement for external courses
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