Purpose

Contribute to the overall success of the Canadian Wealth Distribution Compliance team, ensuring specific individual goals, plans, initiatives are executed/delivered in support of the team's business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities

• Contribute to a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

• Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including CIRO Rule 3900 and internal policies and procedures to detect violations and potential violations.

• Conduct effective follow-up on issues and potential violations identified in a timely and efficient manner.

• Execute the risk based regulatory compliance monitoring program to identify areas of regulatory compliance risk exposure and ensure that reviews are conducted are high quality and appropriate.

• Assist in identifying gaps in the existing compliance program and review and investigate compliance issues as they arise and escalate findings.

• Participates in special projects requiring specialist compliance input and expertise, such as Branch Review Program updates and Compliance Manual reviews/updates.

• Partner with other Global Compliance groups to ensure consistent and effective execution of the monitoring program across business units.

• Maintains a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.

• Understand how the Bank's risk appetite and risk culture should be considered in the execution of day-to-day trade reviews.

• Participate in a high-performance environment by fostering an inclusive work environment and team culture.

Education/Experience

• College Diploma or University Degree (preferable) and/or 2 years relevant experience in the financial industry (preferably with an CIRO member firm)

• Relevant Industry accreditations/courses such as CSI Industry courses or equivalents an asset. Ie. Canadian Securities Course; Conduct and Practices Handbook Course and Derivatives Fundamental Options Licensing Course.

• Good understanding of the general characteristics, attributes and risk factors associated with various securities and investment strategies for the purpose of assessing matters such as suitability and legitimacy of investment activities.

• Able to communicate effectively verbally and in writing

• Strong analytical skills and a keen eye for detail.

• Well-developed inter-personal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members.

• Self-motivated, confident and capable of working both independently and in a team environment.

• Results oriented and high achiever.

• Reliable, consistent, disciplined and high level of integrity.

• Tactful, diplomatic and politely persistent