Vice President, Compliance Job Description Template
Our company is looking for a Vice President, Compliance to join our team.
Responsibilities:
- Providing guidance and recommendations regarding regulatory proceedings to the operational teams;
- Finding solutions to regulatory requirements that may hinder operations/business; creates and proposes solutions to regulatory bodies;
- Work closely with local and global legal and compliance teams to ensure consistency in compliance approach;
- Ensuring that the Corporation’s policies, procedures and practices comply with applicable laws and regulations;
- Developing and implementing clear compliance and anti-money laundering policies and procedures and ensures compliance and enforcement;
- Ensuring relevant team members are appropriately trained on regulatory and compliance issues and such training is regularly scheduled and documented;
- Participate in product launches and strategic projects in order to identify compliance/regulatory issues;
- Managing other initiatives as required;
- Collaborating with the Vice President, Enterprise Risk Management on the Company’s enterprise risk management plans;
- Ensuring compliance with licensing laws, health and safety and other statutory regulations;
- Reporting information to applicable regulatory bodies and provincial/state partners as required;
- Championing and participating in events for the Company’s PROUD program;
- Developing performance objectives and delivers performance evaluations for direct reports.
Requirements:
- Organized, accurate and detail oriented. Capacity for working effectively on multiple tasks simultaneously in a fast paced environment;
- Ability to function both independently and as part of a team;
- Bilingual (French and English) is an asset;
- Excellent analytic, written and oral communication and relationship building skills required, including prior managerial experience;
- Proven ability to exercise sound independent judgment using a rigorous risk lens to resolving problems or identifying issues requiring escalation;
- Accounting designation and/or CFA considered an asset.