Director Regulatory Compliance

Director, Regulatory Compliance

As our client’s next Director, Regulatory Compliance, you manage a team of compliance

managers and specialists, and are the resident subject matter expert. Reporting to the

Managing Director, Compliance, you provide compliance stewardship and oversight to the

business units, and partner with risk owners to ensure compliance risks are appropriately

identified, measured, reported and managed in alignment with OSFI E-13 Guideline and the

companies risk appetite. This position steers vision, prioritizes efforts and sets goals for our

clients Regulatory Compliance Management (RCM) program.

Please note: Preference will be given to candidates in Alberta able to work a hybrid

arrangement out of the corporate offices in Calgary or Edmonton. The option to work remote is

available to candidates from other areas.

Accountabilities

The primary focus of the role is to:

• Interpret and study legal and regulatory requirements and develop governance and reporting for senior management, the Board and regulators
• Develop policies, procedures, framework, and controls for enterprise regulatory compliance
• Identify and monitor regulatory requirements, assess compliance risks and identify areas of non-compliance
• Stay up to date on industry changes, trends, laws, regulatory updates and best practices
• Manage an inventory of all applicable regulatory requirements and their risk prioritization
• Collaborate with the Compliance Assurance team on the testing of regulatory controls
• Provide guidance on the execution of business units projects, compliance advisory and collaborate with risk owners to ensure compliance
• Build and manage effective relationships with key stakeholders, and act as a strategic partner and Subject Matter Expert for regulatory compliance
• Provide guidance or compliance training to the first line as appropriate

Skills, experience & requirements:

As the ideal candidate you possess:

• University Degree in business, accounting, economics, finance or a related field
• 7 or more years experience in a regulatory compliance role at a Canadian financial institution.
• Compliance or risk management certifications, including CCSA, PRM or CIA
• Experience with Volcker Rule implementation would be considered an asset
• Ability to manage a high performing team
• Effective communication, excellent negotiaton and interpersonal skills
• Ability to handle complex issues and a high-volume workload with varied time expectations
• Strong project management skills with a proven track record of success with regulatory compliance and technology-based compliance projects
• Broad knowledge of non-financial risk
• Additional knowledge and experience of market risk and/or security requirements would be an asset