The Compliance Management Professional, LRC assists the Compliance management in the effective implementation, maintenance and administration of a specific Compliance Program. The role 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. The role works closely with the LOB group(s) supported and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. To effectively achieve compliance goals, the Compliance Management Professional, LRC maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and weaknesses. This role 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 role develops and maintains compliance information for analysis and reporting.
- Provide advisory services on continuing education matters.
- Ensure that information regarding CE credit completion is efficiently and accurately entered into the CE tracking database.
- Respond to queries regarding Continuing Education credits, and follow-up on outstanding information.
- Develop and prepare reports to track completion.
- Work with internal partners to document that internal courses meet CE regulatory requirements.
Qualification & Experience:
- Good attention to detail
- Efficient and accurate data entry
- Experience dealing with large quantities of data
- Proficient with Microsoft Excel, Access and Sharepoint
- Ability to work in a fast-paced environment
- Able to effectively present analytics data to Business users
- Strong communication, critical thinking, relationship management, and project management skills
Vacancy Type: Full Time
Job Location: Brampton, CA
Application Deadline: N/A
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