Senior Advisor, Compliance Programs and Risk Management

Laurentian Bank

Founded in Montreal in 1846, Laurentian Bank is committed to serving its customers and fostering deep relationships with specialized groups. Laurentian Bank runs operations across Canada – primarily in Québec and Ontario – as well as in the United States and competes where it sees market opportunity and has an edge, while harnessing the power of partnerships and collaboration.

This role sits within Laurentian Bank Securities.

Description du poste

Responsabilités

• Lead the design and the ensuing enhancements to LBS/B2B Bank Dealers Services inspection program (self-assessments) in collaboration with the relevant teams and experts within the business unit and the Group;
• Carry out the reviews detailed in LBS/B2B Bank Dealers Services inspection program and in particular, analyze the processes audited, identify the risks, test the effectiveness of controls, write recommendations and collaborate to the management of subsequent action plans;
• Participate in the creation and enhancements of regulatory risk management programs, particularly with regards toCIRO and PCMLTF, as well as the various regulatory bodies of the securities industry in collaboration with the relevant stakeholders;
• Collaborate to the implementation of operational risk and regulatory risk guidelines including anti-money laundering and anti-terrorist financing (PCMLTF);
• Act as a risk and compliance subject matter expert to stakeholders (internal and external);
• Advise and assist in situations or projects with a significant legal, PCMLTF and regulatory impact on LBS/B2B Bank Dealers Services operations;
• Participate in internal and external investigations;
• Promote risk awareness and continuous improvement of processes in order to ensure efficiency; and
• Work on LBS/B2B Bank Dealers Services and Group's projects.

Qualifications

• University degree in Finance, Business Administration, Law degree or related field; At least 5 years' experience in compliance or in audit for the capital markets industry or in a similar sector;
• Experience in First Line (1LOD) or Second Line (2LOD) control testing; Knowledge/Experience in managing regulatory risk pertaining securities services (ex: CIRO, CSA, Stock Exchanges);
• Knowledge/Experience in Proceeds of crime (money-laundering) and terrorist financing activities (PCMLTF);
• CAMS certification (an asset);
• Industry credentials such as CSC, CPH, CIM or other CIRO-recognized designations (an asset)
• Knowledge or experience in trading conduct requirements (an asset);
• Knowledge or experience in operational risk management (an asset)
• Bilingual (French and English)*

Compétences spécifiques

• Strong analytical and critical-thinking skills;
• Autonomous and resourceful;
• Strong communication skills, both written and verbal;
• Ethics, integrity;
• Good organizational skills and ability to prioritize;
• Proven ability to work under pressure;
• Exceptional team player and customer service oriented
• Collaborative and able to build strong relationships across departments​

*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.

Ce que nous offrons

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 extra perk, you also get a paid 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 et Accessibilité

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

We may collect, use or disclose your personal information for the purpose of establishing an employment relationship with you.

We also use artificial intelligence (AI) tools during parts of our recruitment process to support fair and efficient hiring decisions.