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Conduct routine monitoring for the GBM & GT businesses
Support the development and maintenance of internal documents including procedures in support of the GBM&T Compliance Canada program
Assist with third party and regulatory reviews/inquiries when necessary
Support and maintain the inventory of monitoring activities for the GBM, GT and GTB businesses, including but not limited to annual reasonability review and quarterly coverage gap reviews
Assist with the preparation of GBM&T Compliance Canada reporting, and provide input for other Global Compliance reporting processes
Assist other team members and with ad hoc requests/provide support as needed in respect of other aspects of the GBM&T Compliance Canada Program
Focus on developing a high level of understanding of the products, markets, systems regulations and personnel necessary in order to exercise judgement to identify, diagnose, and problem-solve within the rules.
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Foster and maintain collaborative relationships with key internal and external stakeholders including Global Compliance, regulators and GBM business leaders to support the achievement of initiative deliverables and overall objectives
Maintain a high level of awareness of compliance related industry developments.
Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Code of Conduct.
Champions a high-performance environment and contributes to an inclusive work environment.
Compliance Officer, GBM&T Compliance Canada Program
Toronto, ONPosted Yesterday