Senior Advisor, Compliance Programs and Risk Management

September 23, 2021

Job Description

There When It Matters for 175 YearsThis year, we are proud to celebrate our 175th anniversary. Since our founding in Quebec in 1846, we've been committed to improving the financial health of all of our clients. We are driven by the opportunity to help families thrive, communities grow and businesses succeed. As our roots have grown stronger than ever before, we are ready to lead the way for the next 175 years.Laurentian Bank Financial Group (LBCFG) is a diversified financial services provider whose mission is to help its customers improve their financial health. The Laurentian Bank of Canada and its entities are collectively referred to as Laurentian Bank Financial Group (the "Group" or the "Bank"). With more than 2,900 employees guided by the values of proximity, simplicity and honesty, the Group provides a broad range of advice-based solutions and services to its personal, business and institutional customers. With pan-Canadian activities and a presence in the U.S., the Group is an important player in numerous market segments.This role sits within Laurentian Bank Securities, a subsidiary of Laurentian Bank Financial Group.


Under the responsibility of the Senior Manager, Compliance Programs and Risk Management, this person will contribute to maintaining a healthy and effective regulatory and operational risk management structure and to overall compliance to internal policies and standards issued by Laurentian Bank Financial Group (hereinafter "the Group"). Responsibilities: For business lines or areas under his/her responsibility:ºLead the development and enhancement of regulatory risk management programs (eg: policies, procedures, forms, etc.) with regards to trading-related regulations and best practices;ºCollaborate with the implementation of operational risk and regulatory risk guidelines;ºParticipate in self-assessments (testing) mandates;ºAct as a risk and compliance subject matter expert to stakeholders (internal and external), management,ºAdvise and assist in situations or projects with a significant impact on the Group's Capital Markets operations;ºCoordinate the implementation of activities developed by LBS and the Group aiming at overseeing regulatory and operational risk management and adapt the ensuing mechanisms to fit Capital Markets' activities;ºParticipate in internal and external reporting;ºPromote risk awareness and continuous improvement of processes in order to ensure efficiency;ºWork on Capital Markets' or Group's projects; andºParticipate in peers' committees for the Group's Capital Markets line of business, when necessary.


Minimum Qualifications ºUniversity degree in finance or administration;ºAt least 5 years' experience in capital markets or in another financial services sector;ºKnowledge /Experience in US SEC and FINRA regulations;ºKnowledge/Experience in managing regulatory risk for securities with regulators such as: IIROC, AMF, TSX, FINTRAC; ºWillingness to pursue FINRA courses and registration;ºKnowledge/Experience in trading conduct requirements would be a plus;ºKnowledge/Experience in operational risk management would be a plus. Specific SkillsºAnalytical skills;ºAutonomous and solutions-oriented;ºStrong communication skills, both written and verbal;ºAble to prioritize;ºStrong ability to work under pressure and in a changing environment;ºExceptional team player.

Additional Information

Equity, Diversity & Inclusion:We are proud to be an equal opportunity employer and are committed to fostering an inclusive and accessible work environment that reflects the diversity of our customers and our communities. We welcome and encourage applications from individuals from all groups, including Indigenous people, women, visible minorities, and persons with disabilities, regardless of race, national or ethnic origin, colour, religion, age, sex, sexual orientation, gender identity or expression, marital status, family status, genetic characteristics, disability or any other legally-protected ground. Accessibility:Accommodations for persons with disabilities are available upon request for job applicants taking part in all aspects of the recruitment process.PIPEDA:We may collect, use or disclose your personal information for the purpose of establishing an employment relationship with you.

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