Executive Director leading firm - wide Compliance Risk Assessment program for SMBC Group in financial services. Managing CRA process and collaborating with regulatory stakeholders.
About the role
- Manage compliance testing for Manulife within the Canada Segment team. Analyze key business controls and recommend improvements for compliance in financial institutions.
Responsibilities
- Plan compliance reviews using a risk-based approach
- Analyze and test the completeness and effectiveness of key business controls to ensure compliance with policies and procedures and applicable regulatory requirements
- Incorporate data analytics in select testing performed
- Set up control testing scopes and engagements and document the design and operating effectiveness of key controls in Archer
- Communicate weaknesses in key controls to Management and make value added recommendations for improvement
- Document results of testing in a clear and concise report
- Enter issues and corrective action plans in Archer
- Ensure proper follow up of the implementation of corrective action plans by the planned target date
- Support/Supervise Anti-Money Laundering QA testing for Canadian Market and Group Functions
- Collaborate with Audit Services, Risk, and other Canadian Market BU Compliance teams
Requirements
- University degree in Commerce or Administration
- Professional designation in accounting, preferable
- Minimum five years of experience in internal/external audit or compliance in a Financial Institution
- CAMS designation is an asset
Benefits
- Health, dental, mental health, and vision insurance
- Short- and long-term disability insurance
- Life and AD&D insurance coverage
- Adoption/surrogacy and wellness benefits
- Employee/family assistance plans
- Retirement savings plans
- Financial education and counseling resources
- Generous paid time off program including holidays, vacation, personal, and sick days
- Statutory leaves of absence
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