Directeur Conformité Testing et Gouvernance BLCSF
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.
The incumbent leads a team of professionals and is responsible for coordinating various testing activities for the Personal Banking Services. They ensure that all tests comply with current standards and procedures and provide reasonable assurance to the Management Team that applicable regulations are being followed. Additionally, they are responsible for coordinating the management and execution of certain regulatory tasks and regulatory controls to ensure compliance with regulations for the LBCFS firm. Finally, they serve as Deputy Chief Compliance Officer for the LBCFS firm. The incumbent reports to the Senior Director, Daily Governance and Oversight, and Chief Compliance Officer of LBCFS.
Responsibilities
- Ensure the development and maintenance of the Regulatory Compliance Program (Guideline E-13).
- Lead a team of professionals, ensure the quality of testing and control work, and compliance with deadlines.
- Draft findings and formulate recommendations to be addressed to managers based on the oversight performed.
- Escalate and address non-compliance issues and promote adherence to compliance standards within the business line.
- Develop action plans to address systemic gaps across the sector or major deficiencies.
- Act as a first-level contact for employees and managers to instill and ensure ongoing compliance with regulations, procedures, and policies.
- Provide advice, support, and training on compliance to business units and new advisors within the team.
- Serve as Deputy Chief Compliance Officer for the LBCFS firm in response to regulatory authority requests, regulatory changes, or other regulatory matters, while staying informed of compliance practices in the financial services industry, particularly in the mutual funds sector.
- Participate as a compliance expert in internal and external committees or activities, representing the Bank or LBCFS with various securities regulators or stakeholders.
- Ensure sound team management to create an engaging work environment.
- Regularly collaborate with the second line of defense, internal audit, operations, and branches to ensure the sustainability of the sector’s operations.
- Support the Senior Director and perform any other related or general tasks requested by their superior or required as part of their role.
Qualifications
- Bachelor's degree in a related field
- A minimum of 8 years of relevant experience in the mutual funds or compliance field, including experience in team management
- Knowledge of securities regulations (CIRO, AMF)
- Bilingual* in French and English (spoken and written)
- Experience in the banking sector and mutual funds industry
- Strong coaching and leadership skills
- Ability to make decisions and find solutions
- Excellent verbal and written communication skills
- Proven ability to build strong relationships with various stakeholders
- Ability to write reports or prepare presentations
- Ability to work in a changing environment
Asset
- Holder of a Mutual Fund Dealer Representative license / Mutual Fund Representative / Investment Funds in Canada (IFC) certification.
- Professional working proficiency in French and English languages required as position involves frequent written and oral communication on complex matters with internal and external parties in both languages.
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.
Directeur Conformité Testing et Gouvernance BLCSF
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.
The incumbent leads a team of professionals and is responsible for coordinating various testing activities for the Personal Banking Services. They ensure that all tests comply with current standards and procedures and provide reasonable assurance to the Management Team that applicable regulations are being followed. Additionally, they are responsible for coordinating the management and execution of certain regulatory tasks and regulatory controls to ensure compliance with regulations for the LBCFS firm. Finally, they serve as Deputy Chief Compliance Officer for the LBCFS firm. The incumbent reports to the Senior Director, Daily Governance and Oversight, and Chief Compliance Officer of LBCFS.
Responsibilities
- Ensure the development and maintenance of the Regulatory Compliance Program (Guideline E-13).
- Lead a team of professionals, ensure the quality of testing and control work, and compliance with deadlines.
- Draft findings and formulate recommendations to be addressed to managers based on the oversight performed.
- Escalate and address non-compliance issues and promote adherence to compliance standards within the business line.
- Develop action plans to address systemic gaps across the sector or major deficiencies.
- Act as a first-level contact for employees and managers to instill and ensure ongoing compliance with regulations, procedures, and policies.
- Provide advice, support, and training on compliance to business units and new advisors within the team.
- Serve as Deputy Chief Compliance Officer for the LBCFS firm in response to regulatory authority requests, regulatory changes, or other regulatory matters, while staying informed of compliance practices in the financial services industry, particularly in the mutual funds sector.
- Participate as a compliance expert in internal and external committees or activities, representing the Bank or LBCFS with various securities regulators or stakeholders.
- Ensure sound team management to create an engaging work environment.
- Regularly collaborate with the second line of defense, internal audit, operations, and branches to ensure the sustainability of the sector’s operations.
- Support the Senior Director and perform any other related or general tasks requested by their superior or required as part of their role.
Qualifications
- Bachelor's degree in a related field
- A minimum of 8 years of relevant experience in the mutual funds or compliance field, including experience in team management
- Knowledge of securities regulations (CIRO, AMF)
- Bilingual* in French and English (spoken and written)
- Experience in the banking sector and mutual funds industry
- Strong coaching and leadership skills
- Ability to make decisions and find solutions
- Excellent verbal and written communication skills
- Proven ability to build strong relationships with various stakeholders
- Ability to write reports or prepare presentations
- Ability to work in a changing environment
Asset
- Holder of a Mutual Fund Dealer Representative license / Mutual Fund Representative / Investment Funds in Canada (IFC) certification.
- Professional working proficiency in French and English languages required as position involves frequent written and oral communication on complex matters with internal and external parties in both languages.
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.