Lateral Canada
Country Compliance and Operational Risk Manager
Toronto
Sponsorship not specified$117k-$157kDetected 22 days ago
Project ManagementCommunication
About the role
- The Country C&OR Manager assists in engaging other C&OR officers, including horizontal coverage owners and Enterprise Areas of Coverage ("EAC"), to provide comprehensive oversight of FLU/CF activities.
- The Country C&OR Manager assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.
- This role is responsible for GCOR coverage of the Global Markets, Global Corporate & Investment Banking, and Global Commercial Banking businesses in Canada.
Responsibilities
- may support communication of regulatory changes to the FLU/CF and ensuring that policies, standards, procedures and/or processes are appropriately implemented or amended to address regulatory requirements
- Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls
Requirements
- University degree or equivalent
- Minimum of 5 years' experience in securities in a financial institution
- Must have compliance experience in futures and fixed income trading
- Compliance experience in equities trading would be an asset
Compensation
- $117,000.00 - $157,000.00 annualized salary, offers to be determined based on experience, education and skill set.
- Discretionary incentive eligible
- This role is eligible to participate in the annual discretionary plan.
- Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.
- Pay Transparency details
- Pay and benefits information
Benefits
- This role is currently benefits eligible.
- We provide competitive benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
- This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line's risk management activities.
- Coveraging is for multiple business lines and functions, including but not limited to equity, fixed income and derivatives sales and trading.
- Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines
- Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory
- Contributes to or leads development of risk coverage plans, executes and / or oversees execution of monitoring, testing and risk assessments, communicates results
- Supports Scenario Analysis activities for coverage areas and challenges as appropriate
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