Senior Compliance Officer, Broker Dealer Testing (James)

Client looking to move quickly
Wide exposure across the firm

About Our Client

Client is a top, global Canadian banking firm.

Job Description

Assist with developing and executing the annual Compliance Testing plan
Determine the scope of reviews, build detailed review steps, and organize documentary evidence of the review
Execute testing engagements and prepare reports to document exceptions and action plans
Communicate deficiencies to the business and key stakeholders, exercising credible challenge
Oversee the remediation of gaps identified in the testing process
Build relationships with key stakeholders globally
Assist in identifying areas for enhanced Monitoring, Testing, or training
Develop Testing metrics and contribute to department reporting
Support issues management development and tracking of Compliance-identified findings
Support the development of a rules inventory covering applicable rules and regulations for TDS businesses
Participate in special projects to enhance compliance functions
Work closely with other support functions and business areas to foster a culture of compliance across the firm
Contribute to annual compliance training requirements and regulatory change impact assessments as needed

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Bachelor's degree or progressive work experience
5-7 years of related experience

Preferred Qualifications:

JD is desirable but not required
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, with the ability to learn new areas while supporting them
Excellent interpersonal, organizational, leadership, and communication (oral and written) skills
Client service skills, with the ability to partner with and advise senior managers, line managers, and other stakeholders on regulatory interactions
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues
Project management skills and the ability to manage multiple work streams involving different partners and groups
Ability to thrive in a fast-paced, deadline-driven environment, demonstrating excellent time management, planning, and the ability to handle multiple assignments simultaneously
Ability to interact effectively with all levels of the organization and collaborate on teams of varying sizes
A relationship builder with the ability to establish, develop, and maintain effective working relationships with regulators and business/functional partners
Proficient in Word, Excel, and PowerPoint