Head of Compliance

Reporting to the CACIB Americas Chief Compliance Officer, the Head of Compliance CASO will be primarily in charge of deploying and ensuring that the CASO’s compliance framework is in line with local regulatory expectations. Besides, the Head of Compliance CASO will help US CPL leads in selecting appropriate/suitable staff to build the CASO CPL supporting Hub and then the Head of Compliance CASO will manage this group. Finally, the Head of Compliance CASO will be acting as local regulator(s) point of contact and serve as CASO Data Protection Officer.

Key Responsibilities

Project Management

• Lead and implement adequate compliance framework in CASO to ensure any local regulatory requirements are met including but not limited to:
• Bill 101: Charter of the French Program
• Bill 96: the Act respecting French, the Official and Common Language of Quebec related to the Francization requirements
• Bill 25: Québec’s Protection of Personal Information in the Private Sector Act related to the Quebec Data Protection framework
• Provide tracking, status updates and related reporting on the various on-going initiatives to local and US managements;
   

Management

• Serve as the CASO data protection officer
• Manage relationship with the OQLF (Office québécois de la langue française)
• Work closely with the relevant subject matter experts to improve CASO compliance team efficiency
• Manage local CASO compliance team
   

Governance

• Maintain an updated set of Compliance policies and procedures for CASO and oversee policy development with the expert Compliance Managers, as required to address CA regulators’ requirement
• Maintain the regulatory risk matrix for CASO, incorporating applicable province and State regulations, and aligning applicable procedures, controls and management reporting
• Monitor evolutions of the regulatory environment and assess potential impact on existing processes and procedures
• Contribute to the US Risk and Control Self-Assessment (RCSA) and related risk mapping
   

Internal reporting
 

• Prepare and consolidate the contributions of CASO Compliance teams for all the relevant committees including the US Compliance management committee
• Support CPL US hub by preparing contribution for the quarterly CMC
• Serve as the point of contact for various Compliance Reports to be shared in the Region and/or for Local Governance Committees and forums

Capital Markets

• Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program in accordance with the Canadian regulatory requirements
• Communicate and implement new regulatory requirements and to affect business and other functions/stakeholders to ensure compliance
• Provide advice on relevant local regulations and internal policies and procedures to internal stakeholders
• Evaluate new products and activities to ensure compliance attention points are identified and addressed

Minimum level of study

• Bachelor Degree / BSc Degree or equivalent

Training / Specialization

• Knowledge of Quebec or French GDPR/Data protection regulations- Successful management experience(s) of transversal/cross-area team(s)- Knowledge of Capital Markets securities products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs- Working knowledge of the Canada regulatory system and framework and in-depth knowledge of securities regulations- Working knowledge of Capital Markets products, including both Equity and FICC products- Successful experience as Data Protection Officer (an asset)- Successful experiences in Bank internal audit (an asset)
   

Minimum Experience Level

• 11 years and more
   

Additional Info:

• Project Management skills- Verbal and written communication skills in English and French required (You will need to service Anglophone clients and work with Anglophone colleagues)- High analysis capacity- Strong capacity to summarize- Written & communication skills- Strong team player- Strong capacity to work with the Business- Strong leadership capacity- Use of Word & Powerpoint

Languages

• English, French