Manager in Individual Insurance Canada to oversee business risk and regulatory change operations. Responsible for compliance integration and project management with cross - functional teams.
About the role
- Lead Compliance Officer managing trade surveillance and market conduct risk for Wells Fargo. Overseeing compliance programs, collaborating with management, and providing regulatory expertise for high-risk projects.
Responsibilities
- Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
- Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions.
- Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
- Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight
- Develop, oversee, and provide expert business and regulatory compliance functional knowledge.
- Develop and present Oversight program materials to senior management.
- Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines.
- Make decisions and resolve issues to meet business objectives.
- Interpret policies, procedures, and compliance requirements.
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
- Work with complex business units, rules and regulations on moderate to high-risk compliance matters.
Requirements
- 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Understanding of market abuse concepts and experience operating surveillance platforms including but not limited to the creation, enhancement and testing of surveillance modules around specific market abuse behaviors across multiple asset classes.
- Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions.
- Subject matter expertise and experience in rates and / or equities surveillance, data types and lifecycles with fixed income, municipals, and futures a plus.
- Proven track record of improving processes and enhancing surveillance applications (Trading Hub, Actimize ActOne, Protegent, Catalyst, GMI) Surveillance, testing or audit experience in a regulatory environment experience
- Experience in a financial services, audit, compliance or regulatory organization
- Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors
- Knowledge of FINRA, CFTC, NFA, FX Global Code Surveillance exposure in fixed income, derivatives, equities and futures asset
- Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience.
- Strong leadership skills and strong analytical skills with high attention to detail and accuracy.
- Ability to prioritize multiple engagements simultaneously initiate action, engage in effective challenge, make difficult decisions, and raise issues.
- Professionalism, adaptability and strong collaboration skills.
- Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
- Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations.
- Demonstrate good judgment and problem-solving abilities.
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Global Regulatory Compliance Intern assisting with documentation for country registration and tracking international market entry processes. Engaging in regulatory compliance tasks with a focus on various global standards and practices.
Compliance Assistant Manager at Western Alliance Bank handling regulatory compliance oversight and guidance. Leading compliance assessments, collaborating with stakeholders, and supporting compliance programs.
Independent contractor analyzing whistleblower reports and compliance matters in the energy sector. Relieving operational workload for General Counsel in sensitive investigations.
Compliance Manager ensuring AML, CTF, and regulatory compliance at YouTrip’s fintech operations. Collaborating with stakeholders while managing compliance frameworks and policies for high growth.
Detail - oriented professional supporting SOX compliance and access governance across the Vodafone Cloud & Infrastructure landscape. Partnering with stakeholders to ensure robust governance and smooth audit cycles.
Regulatory Lead managing data requests and shaping regulatory strategy for VodafoneThree. Collaborating across teams to ensure accurate and compelling regulatory responses and representation.
Office Administrator supporting Global Financial Crime team with administrative tasks and project management. Ensuring proper communication, coordination, and support for multiple initiatives.
Manager of Regulatory Affairs driving regulatory strategies for product launches and compliance. Collaborating with cross - functional teams to enhance product development and advertising campaigns.
GRA CMC Lead driving regulatory strategies for pharmaceutical and vaccine products. Collaborating with cross - functional teams and directly influencing drug approvals through negotiations.