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[Closed]Junior Compliance Officer


 

Job Description

Position Title: Junior Compliance Officer

Location: Bank of China (Canada) Head Office, Markham, ON

Reporting to: Chief Compliance Officer

Position Availability: 1 - Immediate, Full-time

Application deadline: Sept 21, 2017

Position Summary:

The Junior Compliance Officer (“JCO”) will be part of the Legal and Compliance Department (“LCD”) Compliance Team and assist the Bank’s Chief Compliance Officer (“CCO”) in developing, implementing and administering all aspects of the Bank’s Regulatory Compliance Management (“RCM”) Framework processes in accordance with OSFI Guideline E-13, Privacy, and consumer protection in accordance with the laws, regulations and the Bank’s policies, on an enterprise-wide basis.

The JCO will also provide the Bank with regulatory advice, conduct research, interpret and apply the laws and regulations, ensuring best practices to manage the institution’s compliance, privacy and legal risks.

In general, the JCO will serve as a resource to the Bank’s business partners, on legal and regulatory compliance and privacy related matters, and guide the management and staff in the establishment of controls to mitigate the Bank’s risk exposure in its day-to-day activity, thereby safeguarding the interests of the Bank.

The JCO will be responsible for designing, evaluating, supporting, and influencing a culture of compliance throughout the Bank, as well as assisting in the management and execution of an efficient compliance monitoring program.

Compliance Responsibilities include but are not limited to:

  • Assist the CCO with the management and execution of second line of defence testing, assessment, and monitoring  of the enterprise-wide compliance regime, including but not limited to Bank Act legislation, OSFI Guidelines, Privacy, CDIC, FCAC, CRTC, etc.
  • Develop, manage and implement the Bank’s RCM Framework in accordance with OSFI Guideline E-13, ensuring the ongoing compliance with all the applicable laws, regulatory requirements and guidelines.
  • Draft, review and implement the Bank’s compliance policies, procedures and systems and ensure these are current and relative to the Bank’s activities.
  • Ensure an effective compliance communication program, including promoting understanding of new and amended legal or compliance issues and provide training and awareness for Bank staff.
  • Identify, monitor and disseminate emerging or changing legislative and regulatory requirements.
  • Review and approve new products, services, delivery channels and/or process changes ensuring the applicable laws, regulations and guidelines have been identified and adhered to.
  • Design and execute effective testing strategies to ensure ongoing compliance in accordance with the Bank’s compliance policies, procedures, and controls.
  • Develop and implement a risk assessment process for evaluating the inherent compliance risks in the Bank’s activities.
  • Monitor the compliance control activities in all relevant business areas in the Bank, ensuring appropriate controls are in place to implement policies, procedures and RCM Framework.
  • Develop and implement processes and procedures related to conducting independent compliance reviews, testing and business units’ self-assessments.
  • Monitor and prepare reporting on any non-compliance issues to Senior Management, and if applicable to various committees and stakeholders.
  • Provide guidance to the business units in remediation efforts of any deficiencies identified and ensure the rectification is conducted within reasonable timeframe.
  • Coordinate the investigation, processing, and defence of privacy breaches and consumer complaints and/or any other non-compliance events.
  • Assist with the development and drafting of reporting to Senior Management and various regulatory bodies such as Office of Privacy Commissioner of Canada, OSFI, FCAC and CDIC.
  • Act as the subject matter expert on all areas of compliance and privacy to the Bank.
  • Build and maintain a strong, constructive and collaborative relationship between the LCD, all business partners and business units and stakeholders.
  • Participate in industry and professional associations and forums.

Skills and Experience:

  • Minimum Undergraduate degree(s) in business administration, finance, economics, commerce, or a related field;
  • Minimum of 2 years of analytical and investigative experience in Compliance, Privacy, or any related banking experience within the Canadian financial services sector;
  • Experience interpreting laws and regulations (e.g. Bank Act, OSFI, FCAC, etc.) as it applies to the financial services sector;
  • Sound understanding of regulatory and legal trends and issues;
  • Excellent research, communication and organizational skills;
  • Outgoing and self-motivated with a strong client focused approach;
  • Ability and comfort in dealing with all levels of staff within the Bank, as well as with regulators and auditors;
  • Strong time management skills and ability to meet deadlines for multiple projects at the same time;
  • Strong public speaking and presentation skills, and accuracy and attention to detail;
  • Well-developed oversight and the organizational awareness skills;
  • Demonstrated leadership and management skills;
  • Ability to deal with conflicting points of view and to effect creative and responsive solutions;
  • Proficiency in Chinese language preferred but not mandatory;
  • Good working knowledge of IT applications (e.g. Word, Excel, Access, Outlook, etc.).

To apply, please submit your resume along with the application form (available for download at http://www.bankofchina.com/ca/custserv/cs3/ ) to hr@ca.bocusa.com

Bank of China (Canada) is an equal opportunity employer and it is the bank’s policy to recruit and select applicants for employment solely on the basis of their qualifications with emphasis on selecting the best qualified person for the position. We welcome applications from all interested parties. Please understand that only qualified applicants will be contacted.

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