The role involves leading the implementation of the branch compliance plan to ensure regulatory adherence and operational integrity
Job Summary
The role involves leading the implementation of the branch compliance plan to ensure regulatory adherence and operational integrity.
Candidates will be responsible for investigating compliance breaches, conducting risk assessments, and drafting the annual compliance plan.
The position requires providing advisory services on key regulations including the Banking Act, Securities and Futures Act, and Financial Advisers Act.
Matching Summary
Match Score: 85
The role involves leading the implementation of the branch compliance plan to ensure regulatory adherence and operational integrity.
Skills & Requirements
Must-have
5+ years regulatory compliance experience
Knowledge of Banking Act SFA FAA
Conducting compliance reviews and testing
Drafting annual compliance plans
Investigating compliance breaches
Nice-to-have
Strong stakeholder collaboration skills
Experience with Private Banking Sales Advisory
Ability to deliver compliance training
Strategic planning capabilities
Key Requirements
Bachelor's degree in Business or related discipline
Minimum 5 years experience in regulatory compliance