Compliance Officer

The Compliance Officer assists in the effective implementation, maintenance, and administration of the compliance and risk monitoring program for Global Markets (Canada). This position coordinates and performs risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program and Risk Appetite. To effectively achieve compliance goals, the Compliance Officer maintains current knowledge of regulatory requirements and developments, monitors risk and identifies and corrects possible gaps and weaknesses. This position advises LOB management on implications of new regulatory policies or Bank products, and assists in the implementation of new or revised policies and programs to address them. The Compliance Officer develops and maintains compliance information for analysis and reporting. Compliance Program Execution and Monitoring includes performing compliance reviews with a focus on equities, coordinate and perform ongoing risk assessments to ensure compliance policies and risk controls are operating appropriately and identifying trends to optimize data. Regulatory Consultation involves providing advisory services on compliance matters to LOB management, reviewing forms and disclosures, assisting to respond to requests, consulting on new products and providing training on compliance issues. Regulatory Governance requires maintaining expertise in regulations, providing input on emerging issues, analyzing business initiatives, formulating responses to inquiries and representing the LOB Compliance team during audits.