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Operational Compliance Manager

Apply now Job ID 15836961520 Date posted 10/07/2021

Primary Locations: Montreal, Quebec

Employee Status: Regular

Schedule: Full-time

  • Do you enjoy the field of securities operations and compliance?
  • Do you want to be responsible for directing and managing operational compliance, quality and regulatory controls in the operations investments sector?
  • Being a Manager in Compliance, Quality and Regulatory controls in Operations Investment means working in a dynamic, evolving team where the work is stimulating and diversified. It means developing, maintaining, and advancing compliance for all operations related to IIROC regulations, including securities, anti-money laundering and anti-terrorist financing, confidentiality of information, tax laws and other regulatory aspects. It also means recommending and advising management on the directions to take in order to comply with the numerous regulatory requirements and thus reduce the risks of non-compliance with the Bank's regulations.

It also means working with a team of operations managers to maintain high quality standards for our clients by maintaining and evolving an operational quality program.

More details?

This position reports to the Senior Manager of Operations Securities and is located in downtown Montreal.  The position allows for hybrid work depending on business needs.

Main challenges

  • Lead a team of 10 managers by creating a motivating environment while ensuring the evolution of employees and the development of their skills through personalized coaching.
  • Identify the regulatory requirements related to the many complex processes that may have a significant impact on the securities operations team.
  • Provide support to complex regulatory issues submitted by the various operational teams and our internal partners. Understand, interpret and correctly apply complex and specialized regulatory requirements.
  • Oversee and ensure the progression of compliance processes and regulatory controls for our operational teams, as needed.
  • Support and train operational teams and partners in the application of regulatory and compliance requirements.
  • Support operations in the delivery and implementation of regulatory projects and files related to the Bank's strategic initiatives.
  • Ensure that identified compliance gaps and deficiencies are promptly addressed by the teams and follow up on action plans.
  • Liaise with Corporate Compliance and Legal Affairs.
  • Maintain a reference library of upcoming regulatory requirements and changes to assess potential impacts. 
  • Report and take action on situations that may not comply with industry rules or our internal policies and procedures.
  • Ensure the progress, monitoring and sound governance of the quality program for all Securities Operations teams.
  • Monitor regulatory controls on a regular basis and carry out certain controlrelated operational activities.
  • Participate in the training, education and support of compliance activities.
  • Collaborate and review procedural changes during regulatory projects.
  • Act as an expert on various external committees or activities that require a high level of expertise and represent the Bank to various organizations or stakeholders

  • Bachelor's degree in a related field and seven years' relevant experience or Master's degree in a related field and five years' relevant experience
  • Experience in personnel management
  • Relevant experience in risk management, internal audit or compliance
  • Experience in the securities industry
  • Good knowledge of operations and management of applicable regulations
  • Experience managing operational performance (KPIs, deadlines, quality) and group performance (synergy and teamwork)
  • Ability to influence and motivate various stakeholders and partners
  • Bilingualism both spoken and written (English and French), essential

Your benefits

Upon hiring, you will be eligible for a wide range of benefits. In addition to competitive compensation, we offer attractive benefits for you and your family:

  • Health and wellness program, including many benefits
  • Flexible group insurance
  • Defined benefit pension plan
  • Employee Share Ownership Plan
  • Employee and family assistance program
  • Preferred banking services
  • Volunteer program
  • Telemedicine
  • Virtual sleep clinic

These are just a few of the many benefits we offer. We've rolled out a number of additional measures to ensure your health, safety and wellbeing during the pandemic. 

We're putting people first

We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people.   Our mission is to have a positive impact on peoples' lives.

Our core values of partnership, agility, and empowerment inspire us,  and inclusivity is central to our commitments. We offer a barrier-free workplace that is accessible to all employees. 

We want our recruitment process to be fully accessible. If you require accommodations, feel free to let us know during your first conversations with us.

We welcome all candidates! What can you bring to our team?

Ready to live your ambitions?


JobField: Operations

Unposting Date: 2021-10-21

Job Number: FIN0090E

Posting Date: 2021-10-07

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