Head of Legal Compliance

General Description:

The role will involve working within our well-established Compliance Department to ensure that the Company continues to meet requirements published by the relevant regulators and ensuring adherence to all internal and external rules and client-requirements to minimise risk and drive quality across the business. A primary function of the Compliance Department is to be the 2nd Line of Defence in the three lines of defence model.

Responsibilities:

• Oversees and monitors the implementation of the Compliance Management System.
• Oversees regulatory and service-level compliance initiatives and develops and manages all related activities.
• Organizes, assigns and audits Compliance Officer methods, strategies, and effectiveness.
• Coordinate, lead and remediate client audits and compliance-related findings.
• Coordinates work with Training and Operations to ensure optimal level of regulatory training and agent monitoring.
• Identifies control gaps and opportunities for improvement as it relates to client service level agreements, applicable regulation, and industry best practices.
• Oversee call auditing and scoring procedures, including trend analysis, remediation & corrective action.
• Partners with executive management to identify, test, and implement call and voice analytics software and programs.
• Reviews, revises, and assists in developing procedures, desktop directives, actions plan and remediation in response to client and or regulatory audits and reviews.
• Partners with senior leaders in managing external vendor relationships and corresponding audits.
• Presenting accurate advice on regulatory developments affecting the business.
• Ensuring appropriate document control throughout the business.
• Ensuring complaints and compliance procedures remain up to date and in line with the latest rules and guidance
• Analyzes root causes of complaints and disputes and communicates with Global Risk committee and executive management to mitigate risk and enhance consumer experience.
• Ad-hoc legal advice on a range of issues, including data protection, corporate and contractual law.

Required Qualifications:

• Juris Doctor (JD) & Active License
• Seven (7) years or more of experience working in banking, financial services, receivables management, or equivalent industry.
• A track record of working in a regulated environment providing practical support and advice on risk and compliance related matters.
• Bi-lingual fluency (English + French)
• Experience with and eligibility & willingness to travel internationally as needed.

Key Attributes : Team Player; Collaborative; Anticipate Needs; Results Oriented; Self-Development; Client-focused; Risk Management; Leader; Project Management; Controls; Deadlines; Negotiator; Relationship-builder; Problem-solver; Risk Management; Licensing; Complaint Handling; Regulatory Training