Compliance Lead Advisor

Seeing beyond numbers™

At Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive.

Today, we have over 2,800 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada and the United States.

We drive results by placing our customers first, making the better choice, acting courageously, and believing everyone belongs.

The Senior Advisor, Compliance, will provide compliance leadership for the entire organization by ensuring sound governance and implementing the regulatory compliance framework.

He / She will oversee and coordinate oversight programs for Personal Banking, Operations, and any other supported business units, as well as all related reporting, monitoring, and action planning activities.

The incumbent will liaise between the various business lines, the second line of defence, and the Internal Audit department for all requests.

He / She will also be responsible for overseeing the control activities of the Daily Governance and Oversight Team. The incumbent will ensure that the business units comply with the Bank’s policies, procedures, and regulatory requirements and will verify that the necessary controls are in place.

Responsabilities

• Lead, oversee and operationalize the regulatory compliance program (Guideline E-13) and all reporting, monitoring, and action planning activities.
• Identify innovative solutions and recommend improvements to compliance processes and best practices across the Bank.
• Document and update key controls and the results of the daily / periodic compliance oversight program.
• Draft reports and make recommendations for managers based on the oversight work performed.
• Escalate and handle non-compliance issues.
• Develop and document action plans to correct issues identified during testing that affect the entire business unit.
• Follow up with stakeholders as required to finalize action plans within the agreed timelines.
• Serve as a contact person to help respond to requests for information and assist with reviews and the monitoring and testing activities of Internal Audit, Regulatory Compliance Management, and any other regulatory authority impacting the business lines and units under his / her responsibility.
• Provide leadership and support within the team for all control activities to improve control quality.
• Act as a compliance expert for projects, initiatives, and team members.
• Stay abreast of current legislation and the Bank’s policies, programs and procedures; track industry trends and practices in the area of compliance.

Qualifications

• Bachelor’s degree in a related field and 10 years of relevant experience, preferably in compliance
• Personal banking experience (an asset)
• Successful completion of the Investment Funds in Canada Course and the Canadian Securities Course (an asset)
• Bilingualism (written and spoken French and English) - essential
• Experience preparing and drafting reports and presenting them to management
• Ability to interpret the Bank’s regulations and implement its policies and procedures
• Excellent verbal and written communication skills
• Excellent judgement and listening and interpersonal skills
• Ability to work in a changing environment
• 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.

What Laurentian Bank has to offer you

The total compensation offered by Laurentian Bank encompasses a comprehensive range of benefits, highlighting our commitment to the well-being and success of our employees.

Here are some of the key points of our offering :

• The actual annual base salary offered will take into account internal equity, skills, and experience among other factors.
• Total compensation : Earn a comprehensive compensation package that includes annual reviews and performance-based bonuses.
• Work model : We prioritize a hybrid work model based on business needs.
• Stock purchase plan : Become not just an employee, but a Laurentian Bank shareholder. Employer matching takes your investment even further.
• Time off : In addition to paid vacation, we provide floating days and leave options to accommodate the diverse needs of our employees.

Plus, as an additional perk, you get a day off to celebrate your birthday.

• Health and wellness : Take care of your health and well-being with access to healthcare professionals, our Employee and Family Assistance Program (EFAP), and a Stress Management and Well-Being Program.
• Group insurance and pension : We offer a competitive insurance program based on your family’s needs and a defined contribution pension plan to help prepare for your future.
• Financial benefits : As a Laurentian Bank employee, you’re also the best ambassador for our products and services. Take advantage of employee-only offers on a wide range of products.

Enjoy exclusive deals and preferred rates on products and services including insurance, hotels, train tickets, spas and many more.

We are committed to creating a fulfilling professional environment where your skills are valued, and your well-being is a priority.

Join us for a rewarding career at Laurentian Bank.

Inclusion and Accessibility

At Laurentian Bank, we believe everyone belongs. We are committed to fostering an inclusive work environment that reflects the diversity of our customers and our communities and where everyone feels like they belong and can thrive.

To this end, we encourage applications from individuals from equity-deserving groups, including Indigenous persons, racialized and persons with disabilities, marginalized genders and the 2SLGBTQIA+ community.

We strive to offer a flexible and accessible work experience that is inclusive of everyone. If at any time you need an accommodation, please let us know.

PIPEDA

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