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Manager-Compliance

Job Description

Reporting to the Chief Compliance Officer (CCO), the Manager, Compliance Governance (Compliance Manager) will lead the development, implementation and oversight of compliance practices and methodologies to be used by Amex Bank of Canada. The Compliance Manager enables the effectiveness of the Bank’s enterprise-wide controls through oversight of compliance risks, processes and controls. Responsibility for enterprise-wide regulatory compliance programs, including compliance policies, training programs, and reporting in accordance with regulatory requirements and internal American Express policy. 

Lead a team of direct reports, the Compliance Manager will oversee the annual compliance and test plan management, manage tracking and reporting of regulatory and legislative issues, coordination of regulatory relationship management, such as OSFI/FINTRAC reviews, as well as preparing board and other internal management reports.

Major Responsibilities include:

  • Provide though leadership on the Bank’s Regulatory Compliance Management (RCM) Framework and supporting standards, ensuring changes in global expectations are tracked and incorporated into the RCM Framework as required.
  • Responsible for developing and overseeing RCM methodologies (e.g. compliance risk assessments, monitoring and testing, risk appetite, etc.)
  • In conjunction with the Global Training Team and market Subject Matter Experts (SMEs), oversee the annual Canadian Compliance Training Program (e.g.  Privacy, Consumer Code, AODA, CASL) including the Compliance department employee training program.
  • Lead the development, execution and oversight of an effective Compliance Monitoring and Testing program.
  • Facilitate business monitoring activities with Director and Analyst(s).
  • Oversee the Bank’s Compliance policies (e.g. Privacy Policy, AML/ATF Policy, RCM Policy) and the VP & Chief Compliance Officers Mandate.  
  • Oversee the preparation and submission of the CCO Report to the Conduct Review Committee and other Compliance-related materials (e.g. ORMC, ERMC, etc.) or reporting (e.g. MMCR, test reports, etc.) as required.
  • Support the CCO as a key Bank contact for Regulators.
  • Oversee OSFI/FINTRAC examinations process.  
  • Manage Compliance Vendors and Intercompany SLAs.
  • Liaise as required with other control functions, including Internal Audit, Operational Risk Management, Enterprise Compliance Risk Management, the General Counsel’s Office, and other Compliance functions/resources.

Minimum Qualifications

  • Minimum 5-8 years’ experience related to Compliance / Audit / Legal / Risk Management experience in the financial services industry, preferably in the compliance function.
  • University degree in related field or equivalent combination of education and business experience. 
  • Must have experience in at least two of the following areas:  regulatory compliance, controls, risk management, audit experience, credit card operations.
  • Understanding regulatory, industry guidance and best practices relevant to the business, including technology implications.
  • Knowledge and experience in control theory and professional auditing/testing practices.
  • Understanding of business technologies and its impact on control practices.
  • Demonstrated leadership, organizational and managerial skills; ability to develop and lead others through continuous coaching, feedback, recognition and encouragement; track record leading teams of professionals.
  • Effectively integrates business, operational, technological, and financial components in control and testing work.
  • Ability to identify problems and recommend solutions to complex control, financial, or technical issues.
  • Strong written and verbal communication skills to deliver high quality, actionable feedback on a variety of complex issues.

Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

We appreciate all applications, however, only those candidates selected for an interview will be contacted.


ReqID: 20009464
Schedule (Full-Time/Part-Time): Full-time
Date Posted: Jan 7, 2021, 3:32:43 PM