Nouvelle offre d’emploi chez TMX (via |

Director, Compliance

23 juin 2020
Catégories Comptabilité, Finance, Vérification, Certification
Toronto, ON
As part of the TMX general counsel’s office (GCO) and reporting to the TMX Chief Compliance Officer, the Director, Compliance is responsible for implementing and continuing to develop TMX Group’s enterprise compliance program. The Director, Compliance will work with business leaders, legal counsel and the enterprise compliance team to ensure that TMX remains in compliance with the legal and regulatory requirements applicable to its global businesses, including its exchange, clearinghouse, market data, broker dealer and trust company lines of business. The Director, Compliance will also lead the existing program that is designed to ensure compliance by our regulated exchanges and clearing houses with their unique securities law requirements. This role will be based in TMX Group’s Toronto office.

Key Accountabilities:

The Director, Compliance will work with the TMX CCO, and have a leadership role, to develop and implement a risk-based enterprise compliance framework, including key standards, policies & procedures, training and monitoring to ensure that the compliance program is effective in ensuring compliance with applicable laws, regulations and corporate policies and preventing, detecting and correcting non-compliance. The Director, Compliance will also lead a framework for corporate policy management for TMX and will have a key role supporting compliance within TMX’s corporate functions.

Key responsibilities will include:

  • Lead the roll out and oversight of the enterprise compliance function, bringing together the compliance frameworks for multiple lines of business

  • Provide strategic direction for the compliance program, identifying opportunities and delivering solutions to continuously improve the compliance program and drive efficiency

  • Lead compliance risk assessments across the organization

  • Coordinate compliance activities across business lines and corporate functions

  • Manage a small team of compliance analysts

  • Assist the TMX CCO to implement a process for identifying and tracking laws, regulations and industry standards applicable to TMX’s businesses, and documenting key compliance controls

  • Communicate legal and regulatory requirements and industry standards to impacted stakeholders

  • Establish and maintain policies, standards and procedures to mitigate compliance risks

  • Establish and maintain an enterprise compliance training program

  • Monitor changes to the legal and regulatory environment and proactively adapt the compliance program to meet changing requirements

  • Design and oversee a framework for assessment, monitoring, testing and reporting of key compliance activities, policies and controls

  • Advise on compliance matters for new regulations, organizational developments, new products, services and initiatives

  • Design and oversee a framework for corporate policy management and lead the management of key legal policies

  • Serve as a consolidated resource for compliance information and guidance and ongoing support for compliance activities across the organization

  • Provide specific leadership and support for compliance activities within the corporate functions, and for legal and regulatory requirements that apply across the organization

  • Foster a compliance culture within the organization

Must Haves:

  • Highly motivated and experienced compliance professional with excellent leadership, interpersonal, communication, organizational, team management, project management and decision-making skills.

  • Minimum 7 years of relevant compliance and/or legal experience

  • Experience in the financial services and/or securities industry and understanding of Canadian securities and regulatory framework is an asset

  • Bachelor’s degree, legal qualifications, or comparable experience

TMX is committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide accommodations for applicants and employees who require it.

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