Regulatory Compliance Officer

Job Description

Regulatory Compliance Officer

• 12 months contract role *

Build the future with us

Are you motivated by regulatory compliance, sound risk management and the opportunity to help clients feel confident and secure about their future? As a Regulatory Compliance Officer, you will play a key role in supporting dealer teams, interpreting regulatory requirements and guiding business partners on complex matters that require practical, well-reasoned advice.

This opportunity will allow you to leverage your regulatory expertise, judgment and collaborative approach within an organization where people, trust and responsible business practices are central to how we work.

What you will accomplish with us

As a Regulatory Compliance Officer, you will be at the heart of our regulatory compliance activities.

Your main responsibilities will include

• Regulatory Support:

•

• Act as an advanced expert to address internal issues raised by other departments.
• Interpret business issues to recommend practices that are aligned with current and upcoming regulatory and legislative standards.
• Guide different departments towards an autonomous approach in solving complex problems.
• Offer personalized recommendations while positively influencing the achievement of corporate objectives.

• Regulatory Project:

• Project Responsibility: Lead certain important projects assigned to the regulatory compliance team and involve necessary partners.

• Policy and Procedure Improvement and Drafting: Improve and draft policies, procedures, and memos.

• Training Development: Use advanced knowledge and expertise to develop training for employees based on the organization's business issues.

• Continuous Improvement: Participate in the continuous improvement of processes and practices.

Personal Information Protection

• Investigate privacy incidents and lead follow-up meetings.

• Complete incident reports.

• Advise teams on personal information protection issues and draft quarterly and annual reports.

• Anti-Money Laundering:

• Conduct complex investigations into anti-money laundering and terrorist financing activities.

• Investigate politically exposed persons and maintain the AML & PEP register.

• Participate in internal audits and AML training management.

Referral and Distribution Agreements

• Analyze and review requests and agreements.

• Maintain agreement records and respond to annual questionnaires.

• Service Agreements:

• Analyze and review service agreements, and participate in annual meetings.

• Negotiate clauses with third parties and maintain records.

What could accelerate your success in this role

• You have 5 to 7 years of experience in the financial services industry, regulatory compliance, legal affairs or another relevant field.
• You have strong knowledge of regulatory compliance in the financial services industry and understand how to translate regulatory expectations into practical business guidance.
• You are recognized...