|Reference # :||19-07594||Title :||Compliance Officer|
|Location :||Toronto, ON|
|Position Type :||Part Time/Contract|
|Experience Level :||Start Date / End Date :||07/29/2019 / 07/28/2020|
|• Position Title: Compliance Officer-32393|
• Duration: 1 year
• Work Location: Toronto
Reporting to the Senior Manager, CB Compliance, the Senior Compliance Officer will be mainly responsible for execution and documentation of assigned Compliance Monitoring and Surveillance activities. The role requires regular interaction and communication with business personnel and an ability to independently analyze live Retail Banking client data to identify trends of non-compliance.
Overall success is measured by the effective completion of all scheduled Monitoring and Surveillance activities, the quality of the work performed and the identification of issues or trends in the data assessed. The successful candidate will work closely with other members of the CB Compliance team, as well as other risk management partners such as the Global Privacy Office and Legal.
· Executing various Monitoring and Surveillance activities designed to identify trends of non-compliance with applicable regulatory requirements.
· Develop and maintain surveillance applications by ensuring all the logic and parameters within the tools are up to date.
· Clearly communicating noted exceptions to business unit management, and summarizing findings and enhancement opportunities for Senior Manager review.
· Assisting in the validation of remediation activities performed by CB businesses to address identified control gaps.
· Ensuring that all work is adequately supported by appropriate documentary evidence.
· Clearly communicating engagement status to the Senior Manager on a regular basis.
· Assisting with the execution of Compliance Testing engagements, as required.
· Staying current with banks Compliance policy and regulatory updates.
· Assist with special projects, as required.
-5+ yrs exp. as a Compliance Officer
-Proficient in SQL
-Proficient in VBA
-Proficient in Tableau
-Proficient in Python
-Proficient in Alteryx
-Proficient in SAS
-Proficient in Matlab
-Proficient in R open source language
-Excellent & effective communication, relationship mgt. & documentation skills