Lead Advisor, Regulatory Compliance Management
Top Benefits
About the role
Seeing beyond numbers™
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 2,800 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.
The Lead Advisor plays a critical role in supporting the governance and execution of the Regulatory Compliance Management (RCM) Program. This includes oversight of the Regulatory Compliance Risk Assessment (RCRA) Standard, RCM policies, standards, and procedures, as well as ownership of the RCM Team SharePoint site. The role also supports enterprise-wide regulatory engagements and day-to-day activities to ensure the Bank’s compliance with applicable laws, regulations, and internal requirements.
Responsibilities
Governance & Oversight
- Lead the lifecycle management of RCM Program governance documents (policies, standards, procedures), including version control, stakeholder review, approvals, translation, and communication.
- Act as Secretary for the RCM Governance Committee: prepare agendas, coordinate documentation, and produce meeting minutes and outputs.
- Own the Regulatory Compliance Risk Assessment (RCRA) process across the enterprise.
- Develop and maintain the methodology for identifying applicable regulatory requirements across jurisdictions (RCM Universe).
Regulatory Engagement & Liaison
- Support regulatory engagements by reviewing requests for information (RFIs), engagement letters, and responses; ensure action plans meet committed timelines.
- Act as liaison for regulatory correspondence, maintaining a register and reporting quarterly.
- Assist the Chief Compliance Officer with regulatory reporting, audits, surveys, and inquiries.
SharePoint & Communication
- Own the design, content management, and maintenance of the RCM Team SharePoint site, ensuring materials are current and accessible.
- Support change management and communication efforts to promote stakeholder engagement and program adoption.
Program Support & Collaboration
- Contribute to the development, integration, and enhancement of the RCM Program, including training and education initiatives.
- Collaborate with RCM Advisors and Monitoring & Testing teams to implement and support program processes and governance.
- Provide support to the Privacy Office and Regulatory Change Management activities.
- Maintain strong relationships with stakeholders across sectors, Internal Audit, Risk Management, and senior leadership.
General Duties
- Contribute to RCM Program reporting and documentation.
- Stay current on regulatory compliance requirements, industry standards, and internal policies.
- Perform other related duties as required.
Qualifications
- University degree in a relevant field with a minimum of 5 years’ experience in Compliance or Risk Management within the banking sector.
- Strong understanding of banking regulations, including conduct, prudential, AML, and privacy laws (asset).
- Excellent written and verbal communication skills.
- Experience in regulatory change, governance, and enterprise-wide risk management.
- Strong stakeholder management and collaborative leadership skills.
- Proactive, independent, and strategic thinker with strong problem-solving abilities.
- Ability to manage competing priorities and deliver high-quality work under pressure.
- Proficiency in Microsoft Office and collaboration tools.
- Strong influencing skills with the ability to navigate differing viewpoints and drive consensus.
- Knowledge of French is an asset.
Success Metrics
- RCM governance documents are current, accessible, and well-managed.
- Effective regulatory engagement and risk mitigation across the enterprise.
- SharePoint site is actively used and maintained with relevant content.
- Compliance program execution is transparent, consistent, and aligned with standards.
- Strong stakeholder collaboration and communication supporting program success.
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.
Lead Advisor, Regulatory Compliance Management
Top Benefits
About the role
Seeing beyond numbers™
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 2,800 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.
The Lead Advisor plays a critical role in supporting the governance and execution of the Regulatory Compliance Management (RCM) Program. This includes oversight of the Regulatory Compliance Risk Assessment (RCRA) Standard, RCM policies, standards, and procedures, as well as ownership of the RCM Team SharePoint site. The role also supports enterprise-wide regulatory engagements and day-to-day activities to ensure the Bank’s compliance with applicable laws, regulations, and internal requirements.
Responsibilities
Governance & Oversight
- Lead the lifecycle management of RCM Program governance documents (policies, standards, procedures), including version control, stakeholder review, approvals, translation, and communication.
- Act as Secretary for the RCM Governance Committee: prepare agendas, coordinate documentation, and produce meeting minutes and outputs.
- Own the Regulatory Compliance Risk Assessment (RCRA) process across the enterprise.
- Develop and maintain the methodology for identifying applicable regulatory requirements across jurisdictions (RCM Universe).
Regulatory Engagement & Liaison
- Support regulatory engagements by reviewing requests for information (RFIs), engagement letters, and responses; ensure action plans meet committed timelines.
- Act as liaison for regulatory correspondence, maintaining a register and reporting quarterly.
- Assist the Chief Compliance Officer with regulatory reporting, audits, surveys, and inquiries.
SharePoint & Communication
- Own the design, content management, and maintenance of the RCM Team SharePoint site, ensuring materials are current and accessible.
- Support change management and communication efforts to promote stakeholder engagement and program adoption.
Program Support & Collaboration
- Contribute to the development, integration, and enhancement of the RCM Program, including training and education initiatives.
- Collaborate with RCM Advisors and Monitoring & Testing teams to implement and support program processes and governance.
- Provide support to the Privacy Office and Regulatory Change Management activities.
- Maintain strong relationships with stakeholders across sectors, Internal Audit, Risk Management, and senior leadership.
General Duties
- Contribute to RCM Program reporting and documentation.
- Stay current on regulatory compliance requirements, industry standards, and internal policies.
- Perform other related duties as required.
Qualifications
- University degree in a relevant field with a minimum of 5 years’ experience in Compliance or Risk Management within the banking sector.
- Strong understanding of banking regulations, including conduct, prudential, AML, and privacy laws (asset).
- Excellent written and verbal communication skills.
- Experience in regulatory change, governance, and enterprise-wide risk management.
- Strong stakeholder management and collaborative leadership skills.
- Proactive, independent, and strategic thinker with strong problem-solving abilities.
- Ability to manage competing priorities and deliver high-quality work under pressure.
- Proficiency in Microsoft Office and collaboration tools.
- Strong influencing skills with the ability to navigate differing viewpoints and drive consensus.
- Knowledge of French is an asset.
Success Metrics
- RCM governance documents are current, accessible, and well-managed.
- Effective regulatory engagement and risk mitigation across the enterprise.
- SharePoint site is actively used and maintained with relevant content.
- Compliance program execution is transparent, consistent, and aligned with standards.
- Strong stakeholder collaboration and communication supporting program success.
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.