CA CIB Americas

Investment banking


Compliance and permanent control officer - canada

06 October Canada, MONTREAL Perm

- Assist CACIB (Canada Branch) management in monitoring non-compliance risks for the bank to ensure that all operations are in compliance with applicable local regulations and Head Office Governance texts.

- Perform the role of Local Compliance Officer (CAMLO) and Local PCO in accordance with Head Office Governance text and Canadian regulation.

- Assist CACIB (Canada Branch) in the implementation of the bank's compliance control program (policies, procedures, reporting, systems and controls).
- Responsible for Local financial security such as the prevention of money laundering and terrorist financing as well as handling sanctions.
- Maintain an AML training program for Canada in conjunction with Regional and Head office Compliance Departments.
- Oversee the KYC system of the Bank for Canada.
- Advise the management and Business Lines to address compliance concerns.
- Coordinate with Compliance Head and Regional Offices Departments to ensure that appropriate Compliance controls are in place.
- Act as New Activities and Products Committee (NAP) Permanent Secretary and coordinator overseeing approval process for new products and activities of CACIB (Canada Branch).
- Act as Local Permanent Control Officer monitoring KPI's and KRI's applicable to CACIB (Canada Branch) activity.
- Update and maintain a compliance risk mapping and implement an adequate control plan.

- Prepare regular and ad hoc reports as required.
- Participate in relevant governance committees of CACIB (Canada Branch).
- Provide Legal advice in respect of the branch transactions including review of Legal documentation such as loan agreements, non-disclosure agreements and letters of offer.
- Coordinate and liaise with external legal counsel.

- Maintain internal relations with local Management, RPC (Americas), Compliance and Legal Department (Americas and Head Office) as well as Audit Department (Americas).

- Maintain external relations with Auditors and Legal Firms.

- Minimum 3 years of relevant experience in a regulated environment ideally in the corporate and investment bank sector within an international company.

- B.A.
in law and/or Finance, Master's degree (an advantage).