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Job Title: Senior Manager, Legislative Compliance Management ( ID: A8817 )
Career Category: Aml/atf, Competition, Compliance, Privacy, Tlca
Posted Date: 2011-05-04
Location: Toronto
Senior Manager, Legislative Compliance Management

Our client, a financial services institution is expanding! They are seeking a Senior Manager, Legislative Compliance.
Working closely with the Chief Compliance Officer, the successful individual will lead the development of group policies and procedures and advise on complex questions and issues. You will also be responsible for the continuous improvement of the Legislative compliance management program to monitor adherence to applicable regulations and policies.

Your Responsibilities will Include:
• Acting as the centre of expertise with respect to Trust and Loan Company Act, Bank Act, OSFI guidelines Competition Act, FCAC framework etc.
• Drafting compliance policy and procedures to ensure the business unit’s ongoing compliance with applicable laws, regulations, guidelines and company internal polices
• Improving the Legislative Compliance Management programs so that they adhere to applicable laws, regulations, guidelines and company internal policy
• Working with business partners to develop proactive strategies tactics, program/procedures and controls to effectively manage their legislative compliance risk and foster the establishment of a compliance culture
• Staying current with respect to regulatory development, lasing with industry regulations/associations, peer group at other financial institutions, as well as with internal support groups (Law Dept, Audit etc), assessing emerging risk and recommending action plans accordingly
• Conducting complex compliance reviews; develop recommendations for business /compliance management based on findings
• Leading Legislative Compliance Management initiatives
• Creating and conducting in-house training


• University degree is required (Professional designation and/or Law degree is an asset)
• Minimum of 5 years Legislative Compliance Management Experience
• Knowledge of Trust and Loan Company Act, Bank Act, OSFI guidelines, Competition Act, Privacy Act and FCAC framework
• Significant knowledge of consumer and commercial banking business ( mortgage lending, deposits, direct banking)
• Previous legal, regulatory compliance and audit background is advantageous
• Ability to effectively manage competing priorities
• Proven leadership and the ability to mentor and guide junior team members
• Business savvy in client engagement, balancing evolving compliance priorities and business needs
• Excellent research skills and ability to work independently

If you are qualified and interested in the above position, please e-mail Michaela at Only those who are selected as suitable for the role will be contacted.



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