Permanent Full Time. The organization is advancing its Business Risk & Controls function and is seeking a Sr Compliance Advisor to join the team supporting the Individual Wealth business unit, including its related mutual fund and securities dealers. The role will help ensure the business unit’s adherence to regulatory requirements and internal policies, and will provide strategic compliance guidance, support risk mitigation, and promote a culture of ethical conduct and regulatory awareness across the organization.
What You Will Do
Support the business unit in its adherence to the compliance framework aligned with financial services regulations
Monitor and assess regulatory changes impacting wealth management, and engage stakeholders accordingly in assessing and implementing required changes