Purpose

Contributes to the overall success of the Global Banking & Markets and Treasury (“GBM&T”) Compliance Canada Program. The Senior Compliance Officer will work closely with the Senior Manager, Programs & Monitoring, the GBM&T Compliance Canada team and a diverse set of stakeholders to provide ongoing

support of the Global Banking and Markets (“GBM”) and Group Treasury (“GT”) Canada Compliance programs in line with Global Compliance’s strategy and initiatives.

Accountabilities

Support the execution of various components of the GBM&T Compliance Canada program, which includes the following:

• Assist with management and maintenance of the Integrated Regulatory Compliance Management regulatory library

• Assist with coordinating the response to audits, third party and regulatory reviews/inquiries

• Support the development and maintenance of internal documents including procedures in support of the GBM&T Compliance Canada program

• Assist in coordinating the business unit Compliance Risk and Control Assessment (“CRCA”) process

• Support the development of the monitoring program, which may include exporting and reviewing regulatory library content and associated reporting

• Assist with the development and maintenance of Key Performance Indicators and Key Risk Indicators for the compliance program, including processes to obtain the required data

• Assist with ad hoc requests/provide support as needed in respect of other aspects of the GBM&T Compliance Canada Program, including delivering strategic change initiatives

• Champion a customer focused culture to deepen client relationships and leverage broader

• Bank relationships, systems and knowledge

• Foster and maintain collaborative relationships with key internal and external stakeholders including Global Compliance, regulators and GBM and GT business leaders to support the achievement of initiative deliverables and overall objectives

• Maintain a high level of awareness of compliance related industry developments

• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions

• Actively pursue effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Code of Conduct

• Champion a high-performance environment and contribute to an inclusive work environment

Education/Experience

• Self-motivated; ability to work both independently and collaboratively with multi-functional teams
• Excellent teamwork, interpersonal and conflict resolution skills
• Sound judgment in identifying risks in order to proactively escalate with relevant senior management
• Ability to deliver results in a fast-paced, challenging, and dynamic business environment
• Highly organized and capable of dealing with multiple, complex projects simultaneously
• Excellent oral and written communication skills