Senior Advisor, Regulatory Compliance Management - Governance
Top Benefits
About the role
Seeing beyond numbers
TM
At Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive. Today, we have over 3,000 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada and the United States. We drive results by placing our customers first, making the better choice, acting courageously, and believing everyone belongs.
This role sits within Laurentian Bank.
This role is located in Montreal or Toronto (Hybrid work model)
Reports to the AVP, RCM Program, collaborating with RCM Team colleagues, risk, legal, business units and senior management teams.
This role is responsible for providing governance support to the RCM team. The role is responsible for the oversight of RCM Program policies, standards, procedures, etc., this includes drafting, updating, circulating for review and approval.
Additionally, this role is also responsible to support regulatory liaison activities which include tracking and maintaining of regulator correspondence and reporting, acting as secretary for the RCM Governance Committee and the design and management of the RCM Team SharePoint site. The incumbent is also responsible for providing day-to-day support to the RCM team to ensure the Bank complies with all applicable laws, regulations and internal requirements.
Responsibilities
Oversight over RCM Program governance documents (policies, standards, etc) this includes tracking revision cycles, version control, review and approvals, translation and communication to stakeholders ensuring proper management and retention
Liaise with stakeholders (RCM Team, RCMOs, etc.) across sectors for the purposes of governance document reviews: gathering feedback and comments; approval and communication.
Acts as Secretary for the Regulatory Compliance Management Governance Committee
Facilitates development and approval of agendas, gathering and distribution of documentation related to agendas, and creation of meeting minutes/output
Act as regulatory liaison regarding regulator correspondence; maintaining required correspondence and reporting on a quarterly basis
Provide support to members of the Program team as required, including privacy and regulatory change management activities
Lead and design RCM Program communications (calendars, change management activities, communication plans, etc.)
Assist and support the design, effective integration and implementation of the Regulatory Compliance Management (RCM) Program for the Bank
Assist and support the Chief Compliance Officer in the management of regulatory reporting, requests, audits, surveys and enquiries as required
Ownership of RCM Program team SharePoint sites (design, content oversight, maintenance and access management)
Participate in various internal compliance and governance forums and working groups as required.
Perform any other task of the same nature or of a general nature requested or required in the context of their duties
Maintain an understanding of compliance program framework and regulatory expectations
Qualifications
University degree in a relevant field, combined with a minimum five years of relevant experience in Compliance or Risk Management within the banking industry
Strong written and verbal communication skills including a demonstrated ability to produce clear, concise and accurate written reports
Experience in regulatory change, oversight, governance, and enterprise-wide risk management
Collaborative leadership and stakeholder management skills
able to work well with others as part of a team of multidisciplinary experts
Proactive with sense of initiative; able
to work independently, with minimal guidance.
Critical and strategic thinker
Able to work well under pressure and meet set deadlines producing quality deliverables on time.
Knowledge of French is an asset
Excellent knowledge of Microsoft Office suite including collaboration and communication tools
Familiarity with compliance management systems (Resolver preferred) and compliance reporting tools
Success Metrics
RCM Program governance documents up to date and readily available to all stakeholders
Effective management of RCM Governance Committee; including timely communication to stakeholders of key artifacts
Successful audit performance through proactive documentation
Effective use of RCM team SharePoint sites; ensuring materials/content remains current and relevant
Optimized compliance program execution, ensuring transparency and adherence to program standards
Effective communication and change management approach ensuring collaboration and buy in from stakeholders
What Laurentian Bank has to offer you
The total compensation offered by Laurentian Bank encompasses a comprehensive range of benefits, highlighting our commitment to the well-being and success of our employees.
Here are some of the key points of our offering:
The actual annual base salary offered will take into account internal equity, skills, and experience among other factors.
Total compensation:
Earn a comprehensive compensation package that includes annual reviews and performance-based bonuses.
Work model:
We prioritize a hybrid work model based on business needs.
Stock purchase plan:
Become not just an employee, but a Laurentian Bank shareholder. Employer matching takes your investment even further.
Time off:
In addition to paid vacation, we provide floating days and leave options to accommodate the diverse needs of our employees.
Plus, as an extra perk, you also get a paid day off to celebrate your birthday.
Health and wellness:
Take care of your health and well-being with access to healthcare professionals, our Employee and Family Assistance Program (EFAP), and a Stress Management and Well-Being Program.
Group insurance and pension:
We offer a competitive insurance program based on your family’s needs and a defined contribution pension plan to help prepare for your future.
Financial benefits:
As a Laurentian Bank employee, you’re also the best ambassador for our products and services. Take advantage of employee-only offers on a wide range of products. Enjoy exclusive deals and preferred rates on products and services including insurance, hotels, train tickets, spas and many more.
We are committed to creating a fulfilling professional environment where your skills are valued, and your well-being is a priority. Join us for a rewarding career at Laurentian Bank.
Inclusion and Accessibility
At Laurentian Bank, we believe everyone belongs. We are committed to fostering an inclusive work environment that reflects the diversity of our customers and our communities and where everyone feels like they belong and can thrive. To this end, we encourage applications from individuals from equity-deserving groups, including Indigenous persons, racialized and persons with disabilities, marginalized genders and the 2SLGBTQIA+ community.
We strive to offer a flexible and accessible work experience that is inclusive of everyone. If at any time you need an accommodation, please let us know.
PIPEDA
We may collect, use or disclose your personal information for the purpose of establishing an employment relationship with you.
About Laurentian Bank
Laurentian Bank is a banking institution whose activities extend across Canada. The Bank serves one and a half million clients throughout the country and employs more than 2,900 individuals, which makes it a major player in numerous market segments.
The Bank caters to the needs of retail clients via its branch network based in Quebec. The Bank also stands out for its know-how among small and medium-sized enterprises and real estate developers owing to its specialized teams across Canada. Its subsidiary B2B Bank is, for its part, one of the major Canadian leaders in providing banking products and services and investment accounts through financial advisors and brokers. Laurentian Bank Securities offers integrated brokerage services to a clientele of institutional and retail investors.
Senior Advisor, Regulatory Compliance Management - Governance
Top Benefits
About the role
Seeing beyond numbers
TM
At Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive. Today, we have over 3,000 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada and the United States. We drive results by placing our customers first, making the better choice, acting courageously, and believing everyone belongs.
This role sits within Laurentian Bank.
This role is located in Montreal or Toronto (Hybrid work model)
Reports to the AVP, RCM Program, collaborating with RCM Team colleagues, risk, legal, business units and senior management teams.
This role is responsible for providing governance support to the RCM team. The role is responsible for the oversight of RCM Program policies, standards, procedures, etc., this includes drafting, updating, circulating for review and approval.
Additionally, this role is also responsible to support regulatory liaison activities which include tracking and maintaining of regulator correspondence and reporting, acting as secretary for the RCM Governance Committee and the design and management of the RCM Team SharePoint site. The incumbent is also responsible for providing day-to-day support to the RCM team to ensure the Bank complies with all applicable laws, regulations and internal requirements.
Responsibilities
Oversight over RCM Program governance documents (policies, standards, etc) this includes tracking revision cycles, version control, review and approvals, translation and communication to stakeholders ensuring proper management and retention
Liaise with stakeholders (RCM Team, RCMOs, etc.) across sectors for the purposes of governance document reviews: gathering feedback and comments; approval and communication.
Acts as Secretary for the Regulatory Compliance Management Governance Committee
Facilitates development and approval of agendas, gathering and distribution of documentation related to agendas, and creation of meeting minutes/output
Act as regulatory liaison regarding regulator correspondence; maintaining required correspondence and reporting on a quarterly basis
Provide support to members of the Program team as required, including privacy and regulatory change management activities
Lead and design RCM Program communications (calendars, change management activities, communication plans, etc.)
Assist and support the design, effective integration and implementation of the Regulatory Compliance Management (RCM) Program for the Bank
Assist and support the Chief Compliance Officer in the management of regulatory reporting, requests, audits, surveys and enquiries as required
Ownership of RCM Program team SharePoint sites (design, content oversight, maintenance and access management)
Participate in various internal compliance and governance forums and working groups as required.
Perform any other task of the same nature or of a general nature requested or required in the context of their duties
Maintain an understanding of compliance program framework and regulatory expectations
Qualifications
University degree in a relevant field, combined with a minimum five years of relevant experience in Compliance or Risk Management within the banking industry
Strong written and verbal communication skills including a demonstrated ability to produce clear, concise and accurate written reports
Experience in regulatory change, oversight, governance, and enterprise-wide risk management
Collaborative leadership and stakeholder management skills
able to work well with others as part of a team of multidisciplinary experts
Proactive with sense of initiative; able
to work independently, with minimal guidance.
Critical and strategic thinker
Able to work well under pressure and meet set deadlines producing quality deliverables on time.
Knowledge of French is an asset
Excellent knowledge of Microsoft Office suite including collaboration and communication tools
Familiarity with compliance management systems (Resolver preferred) and compliance reporting tools
Success Metrics
RCM Program governance documents up to date and readily available to all stakeholders
Effective management of RCM Governance Committee; including timely communication to stakeholders of key artifacts
Successful audit performance through proactive documentation
Effective use of RCM team SharePoint sites; ensuring materials/content remains current and relevant
Optimized compliance program execution, ensuring transparency and adherence to program standards
Effective communication and change management approach ensuring collaboration and buy in from stakeholders
What Laurentian Bank has to offer you
The total compensation offered by Laurentian Bank encompasses a comprehensive range of benefits, highlighting our commitment to the well-being and success of our employees.
Here are some of the key points of our offering:
The actual annual base salary offered will take into account internal equity, skills, and experience among other factors.
Total compensation:
Earn a comprehensive compensation package that includes annual reviews and performance-based bonuses.
Work model:
We prioritize a hybrid work model based on business needs.
Stock purchase plan:
Become not just an employee, but a Laurentian Bank shareholder. Employer matching takes your investment even further.
Time off:
In addition to paid vacation, we provide floating days and leave options to accommodate the diverse needs of our employees.
Plus, as an extra perk, you also get a paid day off to celebrate your birthday.
Health and wellness:
Take care of your health and well-being with access to healthcare professionals, our Employee and Family Assistance Program (EFAP), and a Stress Management and Well-Being Program.
Group insurance and pension:
We offer a competitive insurance program based on your family’s needs and a defined contribution pension plan to help prepare for your future.
Financial benefits:
As a Laurentian Bank employee, you’re also the best ambassador for our products and services. Take advantage of employee-only offers on a wide range of products. Enjoy exclusive deals and preferred rates on products and services including insurance, hotels, train tickets, spas and many more.
We are committed to creating a fulfilling professional environment where your skills are valued, and your well-being is a priority. Join us for a rewarding career at Laurentian Bank.
Inclusion and Accessibility
At Laurentian Bank, we believe everyone belongs. We are committed to fostering an inclusive work environment that reflects the diversity of our customers and our communities and where everyone feels like they belong and can thrive. To this end, we encourage applications from individuals from equity-deserving groups, including Indigenous persons, racialized and persons with disabilities, marginalized genders and the 2SLGBTQIA+ community.
We strive to offer a flexible and accessible work experience that is inclusive of everyone. If at any time you need an accommodation, please let us know.
PIPEDA
We may collect, use or disclose your personal information for the purpose of establishing an employment relationship with you.
About Laurentian Bank
Laurentian Bank is a banking institution whose activities extend across Canada. The Bank serves one and a half million clients throughout the country and employs more than 2,900 individuals, which makes it a major player in numerous market segments.
The Bank caters to the needs of retail clients via its branch network based in Quebec. The Bank also stands out for its know-how among small and medium-sized enterprises and real estate developers owing to its specialized teams across Canada. Its subsidiary B2B Bank is, for its part, one of the major Canadian leaders in providing banking products and services and investment accounts through financial advisors and brokers. Laurentian Bank Securities offers integrated brokerage services to a clientele of institutional and retail investors.