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