Computershare Canada · 2 months ago
Head of Regulatory Compliance & Senior Risk Manager
150 Royall Street, Canton, MA, 02021, US
Full-time
Hybrid
Senior Level, Lead/Staff
$180K/yr - $250K/yr
10+ years expComputershare Canada is seeking a CCT Head of Regulatory Compliance to lead their regulatory strategy and governance. The role involves ensuring compliance with regulatory obligations, managing the Compliance Program, and providing oversight across business units while fostering a culture of integrity and compliance.
Financial Services
Responsibilities
Lead and manage the Compliance Program for the CCT business, ensuring policies are current and effective
Provide independent compliance advice and oversight to CCT business units, supporting regulatory filings and reporting
Act as the primary point of contact for regulatory inquiries, examinations, and internal/external audits
Support the Chief Risk Officer in advising boards and implementing risk management strategies across CTCNA, Delaware, and India entities
Oversee the Financial Risk Officer function, including the development of a stress testing program
Implement and manage the AML/BSA Program, serving as the designated AML/BSA Officer for the CCT business
Develop and maintain a regulatory relations program with oversight bodies for CCT, CTCNA, and CDTC
Evaluate business activities for compliance risk, including cash investment and treasury practices
Lead internal investigations of compliance issues and manage crisis response plans
Educate and train employees on regulatory matters and industry best practices
Qualification
Required
Bachelor's degree in Finance, Accounting, Law, or related field; Juris Doctor preferred
Minimum of 10 years' experience in Corporate Trust/Agency services, with at least 10 years in compliance or risk leadership
Proven track record in managing compliance and risk frameworks across complex financial services businesses
Expert knowledge of regulatory risk, operational risk, and compliance management frameworks
Strong understanding of legal requirements and controls, including Anti-Money Laundering (AML)
Excellent organizational and multitasking skills with the ability to meet strict deadlines
Strong interpersonal skills and ability to collaborate with internal teams and external auditors/examiners
High-level analytical skills and evaluative judgment based on regulatory best practices
Ability to educate and train employees on compliance matters and industry standards
Skilled in preparing accurate compliance reports and managing regulatory filings
Experience leading internal investigations and managing crisis response plans
Preferred
Juris Doctor
Professional certification in compliance or risk management
Benefits
Paid parental leave
Health and wellbeing rewards that can be tailored to support you and your family, including medical, dental and vision.
Invest in your future with 401k matching and tax-advantaged flexible spending plans, including healthcare, dependent care and commuter.
Income protection. Our package includes short and long-term disability benefits, life insurance and supplemental life insurance.
Company
Computershare Canada
Computershare (ASX: CPU) is a global market leader in transfer agency and share registration, employee equity plans, mortgage servicing, proxy solicitation and stakeholder communications.
1001-5000 employees
Funding
Current Stage
Late StageCompany data provided by crunchbase