Compliance Director managing compliance oversight for retirement products and services in Canada. Collaborating with internal stakeholders, regulators, and industry bodies to ensure compliance.
Responsibilities
Provide compliance support to AVP Compliance, CCO Canada Retirement.
Participate in steering committees and collaborate with Legal, Risk, and Regulatory Affairs, as appropriate.
Maintain strong working relationships with Marketing, Global Compliance, and other internal partners.
Lead quarterly and annual compliance reporting activities.
Oversee compliance with AML, Privacy, FATCA/CRS, and Business Continuity requirements.
Manage and track regulatory initiatives, ensuring timely and effective compliance.
Oversee second line of defense testing and reporting using global methodologies.
Assess and manage compliance issues, provide consultation and support to the business in the management of these issues.
Provide compliance support for business projects, regulatory inquiries, and plan amendments.
Manage escalated complaints and regulator complaints in partnership with Regulatory Affairs.
Requirements
Bachelor’s degree in Law, Business, Finance, or related field; advanced degree or professional designation preferred.
Minimum 8–10 years of experience in compliance, legal, or risk roles within financial services, ideally with retirement or wealth product exposure.
Strong understanding of Canadian regulatory frameworks, including FSRA, CLHIA, AML, privacy, and pension legislation.
Proven ability to manage complex regulatory initiatives and cross-functional stakeholder relationships.
Experience with second line of defense testing and compliance program management.
Benefits
health insurance
dental insurance
mental health benefits
vision insurance
short-term disability
long-term disability
life insurance
AD&D insurance
adoption/surrogacy benefits
wellness benefits
employee/family assistance plans
pension plans
global share ownership plan
financial education and counseling resources
paid time off including holidays, vacation, personal, and sick days
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