Role Overview

Under the supervision of the Head, Global Enterprise Risk Management Program and Canadian Compliance, the Counsellor, Global Regulatory Compliance executes the Canadian client management compliance program, including AML/ATF oversight, screening & training, KYC, suitability & documentation oversight, and associated registrant training, monitoring & testing of client documentation, client complaints, client relationship disclosure information, requests from regulators and various surveillance activities, to ensure that the company honours its regulatory obligations.

Responsibilities

• Execute monitoring & testing of controls related to the regulatory compliance obligations for dealing with clients.
• Implement continuous improvement and remediation of identified control gaps.
• Perform surveillance process related to client onboarding documentation, KYC & suitability to identify deficiencies, including levying administrative ...