Titre d'emploi: | DIRECTOR, COMPLIANCE AND LEGAL COUNSEL ( ID: O0602 ) |
Catégorie: | Conseiller juridique , Services financiers , Conformité réglementaire |
Date d'affichage: | 2011-07-12 |
Lieu: | Toronto |
Description: | |
Our Client, a top tier Canadian-based Investment Solutions firm is seeking to hire a Director, compliance and Legal Counsel to join the companys subsidiary Trust Company. Overseeing the compliance team, the Director, compliance and Legal counsel reports to the Senior VP, CCO and CFO. The successful candidate will ensure the companys adherence to its policies and procedures to meet applicable regulatory and operational requirements. As legal counsel, you will be responsible for contract review regulatory advice and the general management of business and legal risk. Your Responsibilities Will Include: - Developing and advising on policies and procures due to regulatory/legal requirements, industry practices, internal policies, and risk practices - Advising the CCO on and conducting/overseeing internal investigation relating to potential non-compliance - Advising the board and CCO on, and assisting in, managing various matters including: o OSFI or other regulatory oversight/agencies o Reviewing new products, marketing materials, business initiatives and systems for compliance with regulatory/legal requirements o Client Complaints - Advising the CCO and business partners compliance with legal/regulatory requirements - Reviewing client and other documentation to ensure compliance with legal/regulatory requirements - Advising on registration issues - Overseeing the implementation and monitoring of the companys Legislative Compliance Management System - Working with Legal and Compliance teams, overseeing and reporting findings regarding the companys policies and processes relating to: o Anti-Money Laundering and Terrorist Financing (AMLTF) o Privacy o Complaint Handling o Financial consumer Agency of Canada (FCAC) Requirements o TLCA Compliance o Compliance with all governing legislation - Reporting verbally and in writing to senior management, the Board of Directors, and other management committees - Managing, delegating and reviewing the work of compliance staff, ensuring deadlines and requirements are met - Overseeing proactive compliance coaching/mentoring/training for staff at all levels in the organization - Becoming subject matter expert in compliance and legal matters relating to the Trust company - Reviewing and negotiating legal agreements related to the Trust company - Working with internal and external business partners to effectively manage corporate business risk Exigences: - 7+ Years experience regulatory compliance activities, including administering compliance programs, with at least 3 Years at management level
|