Director Regulatory Compliance Jobs

Bachelor’s degree in Engineering or Computer Science or equivalent Industry-recognized qualifications and certifications in Information Security and/or Risk Management (CISSP /CRISC/CISSP).

Seek industry trends and knowledge to support effective risk management practices.

Excellent communication (verbal and written) skills, including relationship management, problem-solving, analytical, research, detail-oriented, and quantitative skills.

People management and leadership skills and Ability to influence senior management, risk groups, and operational teams.

Have self-discipline and organization with proven time management skills.

Ensure fair presentation of risk statements, findings, responses, and controls in ongoing reporting and escalate to senior management when necessary.

Post-secondary education in finance, accounting, or a related field such as business administration, economics, commerce, or equivalent work experience is desirable

Strong organizational and project management skills

Manages all student-related finance and accounting functions including confirmation of OSAP and Second Career program eligibility.

5+ years of relevant experience in a financial aid capacity with some supervisory experience, preferably in an educational environment is preferred

Oversees a team that manages the day-to-day operations and procedures of the Financial Aid areas.

Manages the administration of the best self-funding ways including savings, personal funds, and credit cards for our students.

Have 5+ years’ people management experience

Maintains deep knowledge & understanding of industry issues and practices, regulatory requirements and associated changes.

Works with management in the development and enhancement of products and services to ensure compliance with applicable laws and regulations

Act as a source of expert knowledge of the company and regulatory compliance requirements

Competitive compensation and benefits packages

Assist in the development, documentation, implementation and oversight of Securities Finance activities

Exceptional leadership skills with the ability to build, manage, and inspire a compliance team.

Stay up-to-date with evolving crypto regulatory landscapes and apply this knowledge to strengthen our license application.

Bachelor's degree in Law, Finance, Business, or a related field; advanced degree is a plus.

Excellent knowledge of international AML regulations and standards.

Excellent communication and interpersonal abilities to collaborate effectively across departments and with external stakeholders.

Detail-oriented mindset with the ability to analyze complex regulatory requirements and develop actionable compliance solutions.

Manage internal DevOps board and lead the outsourcing team to label priorities, answer questions and complete oversight of completed work tasks.

Customer Success: Manage incoming support tickets through the HubSpot ticket platform and/or VOIP phone system, providing prompt and efficient assistance.

Minimum 1-2 years of industry and/or role experience.

Excellent written and verbal communication skills.

The following education is considered an asset but not required:

Develop a strong understanding of VantEdge software solutions.

Are familiar with product development and project management

Prepare, submit and manage regulatory filings

Report to the CPO and working closely with the CEO and other product owners

Engage with regulatory agencies and auditing agencies to facilitate timely approvals

Monitor regulatory trends and changes to applicable regulations

Assist with the development and implementation of the company regulatory strategy

· University Degree in Finance, Business, Law, or equivalent.

· BCI puts clients at the forefront of all decisions and ahead of individual interests.

· BCI acts ethically, supports diversity, and consistently lives BCI’s values.

Extensive experience working in the securities industry (IIROC, MFDA, CSA), preferably in a Compliance or risk management role

Strong organization and records management skills are required

Maintain the records management system for relevant policy records and data to support Compliance reporting, assurance, and audit purposes

Manage and maintain the client complaint handling program for all lines of business of Aviso Wealth

Extensive experience in compliant and investigation handling

Fluent Communication skills in English are required and bilingual skills in French are an asset

A comprehensive compensation package is on offer, including salary, benefits, and wellness program.

Guides and supervises ongoing procedures with an application of GMP knowledge and adherence to Health Canada guidelines.

Oversees, aids, and coordinates in-house audits and inspections according to GMP standards.

Formulates, observes, and enhances the organization’s quality structure.

Regularly refines areas impacted by deviations and sanctions suitable CAPAs.

Organizes and carries out tasks related to quality.

Support person for all DCOR and CNB risk management which may include attending weekly risk meetings and monitoring department level compliance

Liaise with DCOR and CNB towers to gather requirements, track and manage audit findings to ensure successful audit completion

Assist and support with Vendor onboarding and supplier risk management

Update reporting documentation for Senior Management Team on risk and compliance items

Knowledge/previous experience in audit, governance, or project administration

Communicate with RBC and CNB partners on matters related to compliance, risk, regulations, and audit requirements

-Strong leadership, interpersonal, communication and project management skills; and

-Approximately 8-12 years of pertinent legal experience in increasingly responsible positions;

-Experience in engaging with regulators on sanctions and/or financial payments regulation matters;

Provide legal advice on diverse matters, including but not limited to: sanctions, financial regulatory matters and anti-money laundering;

Act as a liaison with regulatory authorities regarding disclosure and other related matters;

Coordinate re: all reporting and notification activities to banks and regulators re: sanctions matters;

Review processes and procedures of the Operating Areas, to assess the sufficiency of controls for current regulatory requirements.

2+ years of experience in Deposit Compliance

2+ years of experience in Banking Compliance

Strong computer skills; Must be strong in Microsoft Outlook, Excel, Word and PowerPoint.

Assess the impact of Federal and/or State rules and regulations governing lending & deposits to each Operating Area

Assist in the completion of Regulatory Compliance Risk Assessments

Excellent interpersonal, leadership and relationship-building skills to deal with senior levels of management, service providers and local and remote business partners

10+ years of experience working in information security controls, information technology audit, or security risk management.

Supervise deployment of strong identity and access management (IDAM) controls across applications and computing environments

Exposure with various security tools and methodologies, including network security, vulnerability management, vulnerability & penetration assessments, anti-malware, and endpoint security management.

Manages ongoing and new third-party assessments of security and compliance.

Develop, test, and implement new cybersecurity-managed services and then train other IT staff to operationally support the solution(s)

3+ years of Line Management experience within Quality Assurance

Provide Quality Assurance support, guidance and management of Quality Issues, as assigned

Support Quality Management in proposal reviews and reporting QA metrics

Promote the concept of quality, the principles of quality management and devise and implement quality improvements

Or equivalent combination of education, training and experience

Oversee proper coordination of customer-initiated audits and mock regulatory inspections, manage regulatory facility inspections, as assigned

Champion a high performance environment and contributes to an inclusive work environment.

A working understanding of AML/KYC regulatory standards and processes in GBM jurisdictions

Director, Regulatory Onboarding – GWO - Toronto, ON

What's in it for you?

At least 8 years of relevant compliance experience in the investment management industry.

Manage the day-to-day compliance program including monitoring and testing, escalating deficiencies and recommending solutions.

Manage firm and individual registrations.

Strong written and verbal communication skills.

Ability to manage ad hoc projects that require research, analysis and implementation.

Prepare and present training on compliance policies and program.

Serve as a mentor by providing coaching, career development, and inter-departmental relationship management for the team.

Prepare records and be responsible for responding to and meeting internal and external audit requirements related to licensing duties

Maintain Licensing budget and plan for future licensing needs in support of product and service offerings

Serve as subject matter expert on cross functional teams leveraging organization and industry knowledge

Facilitate cross function initiatives to ensure that existing/new capabilities result in compliant outcomes

Minimum 3 years’ experience managing people.

Provide research, file management and other support

Knowledge of financial services and marketing/advertising regulations and requirements with regards to compliance review

Participate in the product development process to determine marketing compliance requirements

Work experience in insurance/financial services industry, preferably with distribution or marketing

Understanding of insurance, mutual funds and marketing, preferably with related legislative and regulatory knowledge

Knowledge of word processing, spreadsheet, database, email, internet, and presentation software

5 years' experience in a project management function.

Manage the on-demand reports and analysis as required by the leadership team.

Minimum 5 years' experience leading a team within a customer service, logistics, supply chain and/or a similarity complex environment/sector.

Advanced computer skills in the MS Office Suite (Microsoft word, Excel, Project, PowerPoint, Visio, and Power BI).

Effective written and verbal communication skills (Clear with the right narrative, key messages & delivery) in both official languages.

Strong Presentation and storytelling skills through data.

Understand drug development and communication process from development, launch through life cycle management.

In depth knowledge of the technical and regulatory requirements related to the role.

Be a strategic problem solver and demonstrate strategic review capabilities.

Support the development of Clinical Regulatory Writing Managers.

We require a minimum of 5 years’ experience

Significant medical writing experience in the pharmaceutical industry or CRO.