Head of Compliance

Crédit Agricole Group; Montreal; On-site; CAD 120,000 - 160,000; Full time

Job summary

A leading financial institution is seeking a Head of Compliance CASO to manage the compliance framework, ensuring adherence to local regulations in Montreal. This position will involve overseeing compliance policies, managing a team, and reporting on regulatory initiatives to management.

Responsibilities

• Lead and implement the compliance framework in CASO to meet local regulatory requirements.
• Serve as the CASO Data Protection Officer and manage the local CASO compliance team.
• Prepare reports for relevant committees, including US Compliance management.

Job description

Summary:

Reporting to the CACIB Americas Chief Compliance Officer, the Head of Compliance CASO will be responsible for deploying and maintaining the CASO’s compliance framework in line with local regulations. They will assist US CPL leads in staff selection for the CASO CPL supporting Hub and manage this team. Additionally, the Head of Compliance CASO will act as the local regulator(s) contact and serve as CASO Data Protection Officer.

Key Responsibilities:

Project Management

• Lead and implement the compliance framework in CASO to meet local regulatory requirements, including but not limited to:
• Bill 101: Charter of the French Program
• Bill 96: Act respecting French, the Official and Common Language of Quebec
• Bill 25: Quebec’s Data Protection Act

Provide tracking, status updates, and reporting on initiatives to management.

Management

• Serve as the CASO Data Protection Officer
• Manage relationships with authorities like the OQLF
• Collaborate with subject matter experts to improve team efficiency
• Manage the local CASO compliance team

Governance

• Maintain and develop compliance policies for CASO, aligning with regulatory requirements
• Maintain the regulatory risk matrix and monitor regulatory changes affecting processes
• Contribute to US Risk and Control Self-Assessment (RCSA) and risk mapping

Internal Reporting

• Prepare reports for relevant committees, including US Compliance management
• Support CPL US hub with contributions for quarterly meetings
• Act as the contact point for compliance reports and governance forums

Capital Markets

• Develop and refine compliance programs according to Canadian regulations
• Implement new regulatory requirements and advise stakeholders
• Evaluate new products for compliance considerations