Senior Advisor – Canada Compliance – DELL – Canada

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Canada Compliance Sr Advisor
Competitive salary
Tortonto- CA
The Dell Financial Services (|DFS|) Regulatory Compliance Department is
looking for a candidate with strong Canada regulatory compliance skills-
specifically in PIPEDA and provincial laws and regulations. The candidate must
possess an in-depth understanding and knowledge of the financial services
industry- including the applicable laws and regulations. Experience in
provincially licensed lending is a plus. Primary focus for this candidate will
be to provide regulatory support to the Canada business; however- th

individual may provide oversight support to other business units an

compliance personnel.

The Regulatory Compliance Senior Advisor is responsible for developing

implementing and monitoring DFS` regulatory compliance program. This position
assists business units in identifying- controlling and monitoring our
compliance obligations.

The candidate must have a demonstrated ability to:

Apply a working knowledge of the Canada regulatory compliance requirements in
a financial services organization- including reading and interpreting
provincial laws and regulations.
• Provide both day-to-day guidance and strategic planning assistance to the
business units on regulatory compliance requirements.
• Conduct compliance reviews of business units to identify potential breaches
of DFS compliance requirements and propose remedial actions.
• Develop scope areas and execute in-depth compliance reviews. Provide through
reports of compliance reviews and summary level reports for leadership.
• Recognize compliance- credit and operational risks in the compliance system
and business processes.
• Assist business units in developing and implementing corrective action for
compliance deficiencies identified in its business program including
participating in developing and implementing changes to policies- processes
and procedures.
• Respond to complex compliance questions & requests from the business units.
• Provide regulatory training to DFS employees and drive awareness of
compliance requirements.
• Identify- diagnose and resolve complex problems.
• Prepare responses to regulatory inquiries- examinations and investigations.
• Work with management to foster a compliance culture across the organization.
• Actively participate on project teams as necessary.

Principal Duties and Responsibilities:
• Develop and perform reviews of business processes and outputs for compliance
with applicable laws and regulations.
• Interpret laws and regulations to assess applicability and requirements for
DFS. Seek guidance from the Legal department as needed.
• Enhance the development and implementation of compliance protocols as new
regulations emerge and laws change.
• Work with business partners to develop preventive controls through policies-
processes and procedures to ensure regulatory compliance.
• Provide regulatory support on existing business practices and new business
initiatives.
• Utilize analytic methods and software to detect potential compliance
breaches.
• Advise compliance management of issues- recommend corrective actions and
work with business units to implement changes.
• Respond to complex compliance questions & requests from the business.
• Identify- diagnose and resolve complex problems affecting DFS` compliance
requirements.

Qualifications Knowledge- Skills- and Abilities.In-depth knowledge of Canadian
regulatory requirements and the proven ability to apply that knowledge in
financial services.
• Working knowledge of financial services procedures and operations.
• Ability to independently perform compliance related research and reviews.
• Strong analytical skills with the ability to make logical and reasoned
decisions.
• Solid organizational skills with the ability to manage through ambiguous
problems establish priorities and effectively work across multiple areas.
• Strong interpersonal communication skills.
• Ability to work effectively on teams and as an independent contributor with
limited direction and oversight.
• Proficient in translating complex data and analyses into actionable
findings- strategies and tactics.
• Superior knowledge of Microsoft applications (including Word- Excel and
PowerPoint)

Education / Experience:
• Undergraduate degree and 6-8 years relevant experience or Graduate degree
and 4-6 years relevant experience.
• 10+ years of relevant experience or equivalent combination of education and
work experience.

Benefits
We offer highly competitive salaries- bonus programs- world-class benefits-
and unparalleled growth and development opportunities — all to create a
compelling and rewarding work environment.

If you would relish the challenge of auditing in an organization generating
more than 60 billion U.S. dollars- this is your opportunity to develop with
Dell.

Dell Canada Inc. (|Dell|) is committed to fostering an inclusive- accessible
environment- where all employees and customers feel valued- respected and
supported. We are dedicated to building a workforce that reflects the
diversity of our customers and communities in which we live and serve- and
creating an environment where every employee has the opportunity to reach
her/his potential. We welcome applications from: women- Aboriginal persons-
persons with disabilities- ethnic minorities- visible minorities- and others
who may contribute to diversification.

As part of our commitment to accessibility for all persons with disabilities-
Dell will- upon the request of the applicant- provide accommodation during the
recruitment process to ensure equal access to applicants with disabilities. If
you are selected for an interview and you need accommodation- please contact
your recruiter.

Job Family: Finance Job ID: R78787

Wealth Manager – Alterna Bank – Toronto Canada

alterna bank canada logo

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alterna bank canada logo
REF:   18-235
Title Manager, Wealth Management Operations / Branch Compliance Manager (BCM)
Location Greater Toronto Area
Scope of Position
 
The Manager, is responsible for efficient and effective operations of the Wealth Management department and for providing leadership to the advisory support team. In addition, this role has responsibility as Branch Compliance Manager to mitigate regulatory and reputational risk through compliance oversight and engagement.

Major Responsibilities
 
Provides leadership and manages the day-to-day operations of the advisory support team; develops, coaches, sets individual goals and objectives, evaluates performance, and provides frequent feedback
In conjuction with the VP, Wealth Management , leads and implements initiatives that support the credit union’s strategy and wealth management objectives
Conducts daily and monthly trade reviews and supervises the activities of IIROC advisors; ensures proper completion of duties is documented appropriately to meet audit, compliance, and regulatory requirements
Addresses and investigates member complaints that fall under MFDA and IIROC under the guidance of Aviso compliance; escalates complaints to the VP, Wealth Management as required.
Ensures staff meet the minimum IIROC standard for continuing education credits and ensures mutual fund and insurance licenses are maintained accordingly
Provides coverage to the IIROC advisor team during absences
Acts as a resource to all licensed representatives through individual information sessions and demonstrations on the features, benefits, and procedures associated with investment products and processes, conducts follow-up as required to ensure understanding

Coordinates Aviso training sessions with the Region, ensuring effective stakeholder communication and alignment with other priorities within Alterna are considered
Identifies knowledge and training gaps; recommends and implements training initiatives to ensure staff are proficient with regulatory and administrative standards
Establishes, manages, and maintains awareness of the organization in the local community and among professional networking groups
Qualifications

5 years minimum experience as an IIROC Branch Manager/Compliance Officer
Experience as a fully licensed IIROC advisor considered an asset
MFDA Branch Compliance Manager license and LLQP Insurance licensing is an asset
Completed a relevant certificate, diploma, degree or designation program
Proficient computer skills in Microsoft Office applications
Familiarity with Univeris and Datafile systems
Excellent communication skills – written, verbal and small group presentation
Excellent organizational and multi-tasking skills
Demonstrated track record of strong leadership and management skills
Critical thinker and sound analytical skills
Proficient project manager