Our client is a top financial institution with significant North American holdings. They have operations across most major verticals, including institutional & corporate, wealth management, private client, commercial banking, treasury, and retail banking.
The primary purpose of this job is to provide guidance on Private Wealth policies and procedures. The person in this position will work with Business Partners to assist in enhancing the Operating areas compliance programs while keeping the businesses abreast of all legislative and regulatory updates and changes. This position will entail identifying, analyzing and assessing various rules and regulations for applicability to the Operating area, assisting with conducting Risk Assessments of regulations, and validating controls to manage concerns/issues, and other compliance and administrative activities as assigned.
What you will achieve in this role:
• Review processes and procedures of the Operating Areas, to assess the sufficiency of controls for current regulatory requirements.
• Assist with drafting of processes internal to Private Wealth.
• Identify opportunities to implement compliance related processes and controls.
• Prepare and provide summary reporting on progress of policy and procedure updates.
What you will bring to this role:
• 2+ years experience within the Wealth Management industry
• 2+ years experience with writing policy and procedure
• Ability to work with deadlines and prioritize tasks
• Ability to work independently, with little direction
• Strong oral and written communication
• Strong analytical skills
• Understanding of project management & some project management skills; including the ability to coordinate the efforts of people and resources not under their direct control
• Strong computer skills; Must be strong in Microsoft Outlook, Excel, & Word. PowerPoint skills are a plus.
• Advanced degree desirable
We thank you for your interest in the position, however, only those who are qualified will be contacted
Inclusion and Equal Opportunity Employment
Our client is an equal opportunity employer committed to diversity and inclusion; creating an inclusive environment where all team members and clients feel like they belong. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, Aboriginal/Native American status or any other legally-protected factors. We seek applicants with a wide range of abilities, and we provide an accessible candidate experience; accommodations during the application process are available upon request.