Advisor Regulatory Risk Management

at  Banque Laurentienne

QUALIFICATIONS:

• University degree in a related field and minimum three years of relevant experience on a risk management team / Compliance / Internal Audit within a financial institution.
• Bilingualism*
• All other combinations of education and experience may be accepted.
• Autonomous and proactive with sense of initiative
• Considerate, tactful and works well with others as part of a team
• Rigorous and thorough
• Timely and quality delivery
• High integrity
• “Qualifications
  Professional working proficiency in French and English languages required as position involves frequent written and oral communication on complex matters with internal and external parties in both languages.”

• Support second line of defence compliance testing activities (independent testing and quality assurance reviews). Provide reasonable assurance that controls are in place and are designed and operating effectively to ensure compliance to laws and regulatory requirements and to the Bank’s standards.
• Ensure that entries in the Resolver System meet RCM standards and provide effective challenge where required to ensure the system is maintained and updated appropriately.
• Lead or support desk reviews / prepare questionnaires to first line compliance on topics assigned.
• Support governance initiatives to enhance current processes within the team to ensure levels of organization, oversight and audit trails are maintained.
• Through the maintenance of the RCM mailbox and RCM system, help other business units with their enquiries on regulatory matters, action plan follow-ups and various other matters as needed.
• Manage information generated or sent by business units (e.g., issue tracking, action plans, training, 1st line self-assessments, responses to second line compliance testing performed, etc.)
• Support the monitoring and tracking of regulator engagements across the Bank.
• Support the preparation of materials for the annual attestation of the Chief Regulatory Risk Management Officer.
• Ensure proper documentation of findings and supporting work. Verify work was completed in line with testing methodology.
• Support the enterprise wide compliance reporting of the Chief Regulatory Risk Management Officer.
• Prepares, assist and take meeting minutes for the Regulatory Risk Management Committee.
• Proactively monitor, participate in and contribute to various enterprise wide regulatory initiative
• Perform all tasks of similar or general nature requested by his or her superior or required for the job.