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Senior Consultant, Compliance

Req. #:  14252
Department: Compliance
Location: Montreal, QC CA
Job Status: Temporary Full-time
Grade:  08
Category: Legal, Audit, Compliance and Risk Management
Description:

To be successful in this role, the incumbent must contribute to the achievement of the department and Company's objectives by performing compliance reviews and assessments, monitoring, training and other support activities. The incumbent analyzes and monitors the completeness and effectiveness of the processes and controls in place to ensure compliance with the various laws, regulations, guidelines and Compliance policies governing the Functions.

  • Coordinates and conducts risk-based compliance reviews of business processes.
  • Coordinates and conducts compliance reviews related to records management, privacy and other corporate and market conduct policy requirements.
  • Recommends and communicates cost-effective measures for properly managing compliance risks to Management.
  • Prepares reports for Management, summarizing weaknesses noted during review and providing related recommendations.
  • Reviews the implementation of the Functions’ corrective action plans following Compliance recommendations and ensures proper follow-up is made.
  • Performs potential fraud investigations and reports the results to the Financial Crime Officer.
  • Assists Management in the identification and/or the evaluation of compliance/legislative requirements governing the management of Functions, updates the Legislative Compliance Management Database and obtains and analyzes Management’s annual signoff on their compliance status with regards to applicable requirements.
  • Develops and delivers Compliance and/or Legal policies training to various Functions departments.
  • Keeps abreast of Compliance requirements and guidelines and updates the Compliance Policies accordingly.
  • Performs or assists in the preparation of annual risk assessments, as directed.
  • Analyzes and reports unusual and suspicious transactions to respective regulators.
  • Participates in the selection process for Functions distributors.
  • Monitors and reports Politically Exposed Foreign Persons and Terrorists to respective regulators.
  • Assists Management in the preparation of various quarterly and annual reports for the Executive Committee and the Board of Directors.
  • Identifies, implements and maintains controls to mitigate financial and operational risks. Ensures compliance with regulatory requirements and internal policies.
  • Acts as a reference for various stakeholders.
  • Leads projects and intervention to improve company-wide services.
  • Identifies, implements and maintains controls to mitigate financial and operational risks. Ensures compliance with regulatory requirements and internal policies.
  • Performs any other related compliance activity, as required.

REQUIREMENTS

  • University degree in Accounting or Law, with a minimum of eight (8) years of relevant experience.
  • Three to seven years of experience in internal/external audit, legal or compliance.
  • Professional designation in, preferably, accounting or law.
  • Industry related courses (LOMA, IFIC, CSI, CFE, etc.), an asset.

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The personal information gathered on this website is considered strictly confidential and will be used exclusively for recruitment purposes by the Human Resources department at The Standard Life Assurance Company of Canada. Under no circumstances will this information be used for other purposes or forwarded to a third party without the candidate’s authorization.





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