Location Address: Onsite every Wednesday
Contract Duration: Asap to 10/31/2023
Number of Positions: 1
Schedule Hours: 9am-5pm Monday-Friday (Possible OT)
Reason: Additional Workload
Story Behind the Need
Business group:
The Internal Controls for Global Wealth Management is responsible for the risk management support for front line business. They assist in ensuring that policies and external rules are complied to. The team also supports them in their day-to-day operations. This team is responsible for managing the database which holds information on all of the rules and regulations that the bank has to follow.
Candidate Value Proposition:
The successful candidate will have the opportunity to interact with a multitude of stakeholders across the Canadian wealth businesses and support functions, learning about the business and the regulatory environment in which it operates. Ideally suited for a candidate who has an interest in learning about how regulatory compliance risk is managed within a complex wealth environment.
Typical Day in Role:
• Attend meetings with key stakeholders to discuss changes in regulatory requirements and associated controls
• Brainstorming the appropriateness of controls designed to address regulatory risk
• Determining how controls should be documented and assigned to particular business areas/processes to address identified risks
• Reading summarizing, reviewing regulatory requirements
• Researching and assessing controls already in place and determining how they may require adaptation to meet new/changed regulatory requirements
Candidate Requirements/Must Have Skills:
1)1-2 years of experience with securities regulatory and federal banking requirements, including consumer protection
2)1-2 years of experience in Compliance and audit
3)prior experience in Canadian bank or securities subsidiary (broker dealer, mutual fund dealer), trust or private banking entity
Nice-To-Have Skills:
1) Legal Background
2) project management experience
Soft Skills Required:
• Attention to detail – ability to read and interpret requirements, draft concisely and accurately
• Fast worker, efficient, able to prioritize
Education:
• university degree in finance or business discipline preferred
• industry related courses (Canadian Securities course, financial planning) a bonus but not required