Senior Country Compliance and Operational Risk Manager

• Conduct C&OR risk assessments in the country and contribute to the regional risk assessment, including reviewing external loss events to gauge control effectiveness
• Prepare comprehensive Country C&OR reports, aggregating and identifying compliance and operational risks/issues for the country
• Identify, collect, validate, and record internal loss events and "near misses"
• Perform root cause analyses on internal loss events and develop remediation plans to strengthen controls
• Identify, review, and document relevant external loss events
• Contribute to Scenario Analyses to provide forward-looking estimates of hypothetical operational losses
• Evaluate internal audit results, regulator-identified issues, and monitoring & testing (“M&T”) results, advising on necessary remediation within the country
• Ensure all Compliance and Operational Risk “owned” issues (Internal Audit, Regulator, and Self-Identified) are addressed appropriately and in a timely manner
• Oversee changes in local and regional regulation, advising on those changes and directing relevant areas to implement or amend policies/procedures to address regulatory shifts
• Create C&OR risk training coverage plans tailored to local needs
• Contribute to the development of C&OR monitoring & testing plans and execute governance and management routines
• Manage C&OR-related projects and other assigned duties

• A minimum of 10 years of compliance experience with a full-service investment dealer
• Strong, verifiable understanding of the Canadian regulatory environment, including CIRO Rules, National Instruments, and UMIR
• Proven track record in managing compliance programs and leading teams, with at least 2–5 years in a supervisory role
• Expertise with listed and over-the-counter securities and derivatives trading and/or operations
• Experience writing compliance policies, procedures, or guidelines
• Excellent written and verbal communication and analytical skills
• Self-motivated and team-orientated professional
• University degree or equivalent

Working experience in a foreign bank branch

• High Impact Role: Directly report to the Chief Compliance Officer for Canada, with extensive coverage across the full suite of Capital Markets businesses
• Specialized Focus: Opportunity to leverage deep expertise in Canadian securities regulation (CIRO, UMIR, NIs)
• Strategic Function: Direct involvement in enhancing the firm's control environment through risk assessments, root cause analysis, and major remediation efforts