Head of Legal Compliance - Kirkland, Canada - Phillips & Cohen Associates

Phillips & Cohen Associates
Phillips & Cohen Associates
Verified Company
Kirkland, Canada

2 weeks ago

Sophia Lee

Posted by:

Sophia Lee

beBee Recruiter
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.
  • Assist Global General Counsel and U.S. General Counsel in matters relating to Canada.
  • Oversees regulatory and servicelevel 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 compliancerelated 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.
  • Adhoc legal advice on a range of issues, including data protection, corporate and contractual law.

Desired Experience:


  • 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 matter.
  • Multilingual fluency.
  • 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


Benefits:


  • Dental care
  • Onsite gym
  • Onsite parking
  • Paid time off
  • Vision care
  • VRSP

Schedule:

  • 8 hour shift
  • Monday to Friday

Supplemental pay types:

  • Bonus pay

Experience:

- banking, Financial services receivables management: 7 years (required)

  • Regulated risk & Compliance related: 5 years (preferred)

Language:


  • French and English Speaking (required)

Licence/Certification:

  • Juris Doctor (JD) & Active License
(required)


Willingness to travel:

  • 25% (preferred)

Work Location:
Hybrid remote in Kirkland, QC
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