Impress employers and recruiters.
Choose from hundreds of resume examples.
Impress employers and recruiters.
Choose from hundreds of resume examples.
Target Resume Now
About the Role
Canada Life's 1B Business Risk and Control team is seeking a Manager, Regulatory Compliance & Governance to support the Wealth & Advice business unit. This role is key in ensuring adherence to regulatory requirements and internal policies, providing oversight of regulatory compliance for wealth and asset management businesses, and collaborating with subsidiary compliance teams.
Responsibilities
- Provide advice and oversight on the development, implementation, and maintenance of the compliance framework aligned with financial services regulations and other applicable federal and provincial regulations.
- Manage and/or monitor the implementation of regulatory change programs, interpreting regulatory changes, assessing business impact, and engaging stakeholders.
- Monitor, oversee, and report on the remediation of compliance deficiencies from various sources.
- Provide oversight related to subsidiary governance and conduct risk management for regulatory compliance.
- Complete compliance risk assessments and thematic reviews for wealth and asset management subsidiaries.
- Develop and maintain business unit specific compliance metrics and reporting.
- Collaborate with business and functional partners to provide practical, risk-based oversight and advice.
- Execute testing of controls related to regulatory compliance obligations.
Requirements
- 5+ years of progressive compliance experience within the financial services industry.
- Proven ability to interpret complex regulatory requirements and translate them into practical business solutions.
- University degree or college diploma (preferably in finance, business, or law); or equivalent.
- An in-depth knowledge of applicable securities legislation/regulation is considered an asset.
- 2+ years of experience in the business/functional area with people management role considered an asset.
- Strong analytical and problem-solving skills.
- Excellent communication and interpersonal skills.
- Strong organizational skills and attention to detail.
- Proficiency in Microsoft Office applications (Outlook, Excel, Word, PowerPoint).
- Experience with compliance management systems and risk assessment tools is considered an asset.
Skills
- Regulatory Compliance
- Governance
- Risk Management
- Financial Services Regulations
- OSFI
- CIRO
- Securities Legislation
- Business Operations
- Stakeholder Engagement
- Compliance Frameworks
- Compliance Risk Assessment
- Thematic Reviews
- Compliance Metrics
- Reporting
- Control Testing
- Microsoft Office Suite
- Compliance Management Systems
- Risk Assessment Tools
Location
- Canada
Work Type
- Permanent
- Full Time
- Hybrid
Experience Level
- 5+ years
- 2+ years people management
Education Level
- University degree or college diploma (preferably in finance, business, or law); or equivalent
Salary/Compensations
- $102,000 - $152,000 annually
Benefits
- Career Development opportunities
- Access to industry-leading learning programs
- Up to $2,000 annually towards education reimbursement
- Flexible health and dental benefits
- $5,000 mental health benefit
- In addition to regular vacation and personal days
- Volunteer day
- Company-matching pension plan
- Share ownership program
- Additional investment options
- Employee recognition programs
- Service milestone celebrations
- Employee discounts
- Employee Resource Groups (ERGs)
- Mentorship programs
- Social clubs and events
About the Company
- Canada Life is united by a shared purpose: to improve the financial, physical and mental well-being of Canadians.
- The company is trusted by 1 in 3 Canadians and contributes to the strength of communities across the country.
- We’re looking for people who live our values everyday: we step up, we do the right thing, and we deliver – for our customers, communities and each other.
Equal Opportunity
- We’re committed to removing barriers and ensuring equal access to employment.
- Applicants requiring reasonable accommodation during the application process may contact talentacquisitioncanada@canadalife.com.
- All information provided will be handled in accordance with applicable laws and Canada Life policies.