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Senior Manager, Regulatory Development, Conduct & Reliance Model

Surrey, BC
Full Time
4 days ago
Location: Toronto - GTA, Surrey and Vancouver - GVA
Job Type: Full Time
myWork Options: In-person, Hybrid
Starting Salary Range: $135,000 to $144,200 annually
Background Screening Requirement:
  • Enhanced Criminal Record Check
  • Credit Check
  • Identity Verification
  • Education Verification
  • Employment Verification
  • References

  • What's the Job?
    The Senior Manager, Regulatory Development, Conduct and Reliance Model, is accountable for ensuring that our company's products and services adhere to all relevant laws and regulations regarding conduct and within the reliance model. This includes building and overseeing regulatory risk policies, programs and procedures as it pertains to the management supporting a strong internal control environment. The accountable person will be key in managing Coast's relationship with the Mutual Fund Dealer Association (MFDA) and other Prudential Regulators.
    As the regulatory developments expert for Coast Capital, I know that accountabilities include staying up-to-date with changes to laws and regulations. You will need to monitor industry developments, review regulatory updates, and track changes to ensure that our company remains compliant with all relevant laws and regulations. In this role, you lead and collaborate closely with other members of Coast Capital to ensure compliance with any new laws or regulations and manage our Compliance's Governance, Risk, and Compliance system (GRC).
    You may also be called upon to train and guide other employees on best practices for ensuring compliance.

    What You'll Get to Do
  • Oversees and provides guidance on developing and managing oversight for Business Misconduct, Prudential Obligations, Reliance Models, and Market Misconduct.
  • Continually monitor and identify changes to regulatory development and responsible for ensuring regulatory requirements are met.
  • Accountable to build and manage Resolver for Compliance, along with future GRC programs.
  • Oversees and provides guidance to conduct risk assessments for projects and initiatives.
  • Provides leadership in ensuring the library is kept up to date.

  • Who are we looking for?
  • Bachelor's Degree in Business or related field. High awareness of all applicable regulations, including but not limited to all Prudential Regulators. Requirement to stay appraised of all upcoming changes.
  • Risk designation or the desire to complete is preferred. An equivalent combination of education and experience will be considered.
  • 10 + years of experience in managing regulatory risk within a financial institution is required; consideration will be given to individuals with other risk management or legal experience (e.g. enterprise/ operational risk management or legal experience). Experience in working on enterprise level initiatives or projects is required. Experience in working with, providing direction to, and supporting other internal stakeholders up to senior management levels is required.
  • Acting as a subject matter expert in the areas of regulatory development and oversight of market and business misconduct with respect to risk. Also, experience reviewing, interpreting, and solving related to legal, risk, and regulatory requirements.
  • Experience managing risks through the development, implementation, and continuous improvement of risk management frameworks.
  • Advanced understanding of developing policies, procedures, and processes.
  • Proficient knowledge of using risk management concepts and controls (e.g. risk assessments, policies/procedures, reporting, etc.)
  • Adaptable and agile in an ever-changing regulatory environment with the ability to balance business objectives and risk appetite.
  • Advanced ability to gather data/information and create insights and reports.
  • Strong leadership and change management especially in developing sustainable change strategies.
  • Strong communication skills with a focus on change communication for a broad audience, from senior leaders to the front line.
  • Strong ability to work in a fast-paced working environment.
  • Equity, Diversity & Inclusion at Coast Capital
    Don't meet every single requirement? At Coast Capital, we believe everyone has potential. We are committed to building better, brighter, more inclusive futures for everyone - including our employees. We see the potential in our employees to achieve amazing things and want to invest in your future. If you're excited about this career opportunity and your experience may not perfectly align with every qualification in this job posting, we still encourage you to apply. You may be just the right candidate for this or other opportunities at Coast Capital.

    At Coast Capital, we are committed to equity, diversity and inclusion. We strongly encourage applications from Indigenous Peoples, Black, and racialized persons, persons with disabilities, people of diverse sexual and gender identities and women. We value applicants who have demonstrated a commitment to equity, diversity and inclusion and recognize that diverse perspectives, experiences and expertise benefit of our employees, our members, and our community.

    We strive to provide an accessible candidate experience for our candidates with different abilities. If you require any accommodations, please contact or call 778-391-5836. We will work with you to meet your needs.

    Why join Coast Capital Savings?
  • Purpose is our North Star. We look at everything through our purpose. It informs the advice we provide our members, the experiences and products we create, and the programs we build to support our employees and communities.
  • Committed to inclusion and engagement. We have an ongoing focus on equity, diversity, and inclusion and routinely track how we're doing, and what we need to do to keep improving. We foster a culture where everyone can feel safe to be who they really are and thrive.
  • A career that grows with you. We believe in developing our people and promoting from within. Many employees have spent decades, and sometimes their entire careers, with Coast Capital and have progressed from the frontlines to senior leadership.
  • Work where you're most effective. In 2020 the world changed, and that includes how we work. In response to COVID-19 we launched myWork, which gives employees flexibility in where they work based on the nature of their role.
  • Benefits that flex to the needs of you and your family. We offer comprehensive, customizable benefits for you and your family, so you can choose what fits best for you and your lifestyle.
  • Retirement options. We also take care of our employees once they retire. That's why we offer the choice of a defined contribution or defined benefit pension plan or RSP's.
  • Mortgage and auto financing benefits. Employees save thousands on their mortgages and auto loans with best-in-category benefits.
  • Real Recognition. We recognize excellence throughout the year, through an online community that lets employees give kudos and thanks throughout the year. We're human, which means we like to have fun with events, celebrations, and recognition throughout the year.
  • An award winning culture. We're a Platinum member of Canada's Best Managed Companies and are regularly recognized by Canada's Most Admired Corporate Cultures and the BC Top Employers Awards.
  • We reinvest 10% back into the community. When we do well, our communities do well. That's why since 2000 we've invested over $90 million into our member's communities.
  • Double your impact. Through our employee volunteer program, Coast Capital donates $10 for every hour you volunteer to a Canadian charity or non-profit of your choice.

  • D&I at Coast At Coast Capital, we value diversity, equity and inclusion. We're not all the same and we like it that way. We don't just accept differences - we celebrate, support, and we thrive on them for the benefit of our employees, our members, and our community. We are committed to building a team that represents a variety of backgrounds, perspectives, and skills.
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