Purpose Contributes to the success of the execution of the Global Communications Supervision Procedures on behalf of GBM Internal Controls to ensure compliance with the Code of Conduct, internal policies & procedures, Global FX Code, industry standards and applicable regulatory requirements.
Ensures all activities are conducted in compliance with governing regulations, internal policies, and procedures.
Accountabilities Customer Focused Culture: Champions a customer-focused culture and leverages broader Bank relationships, systems and knowledge. Business Knowledge: Maintains expert knowledge of Bank processes, policies, procedures, applications and products related to Global Communications Supervision Procedures and applies this knowledge in the review and analysis of Level 1 communication surveillance activities. Global Communications Supervision: Executes GBM Communication Supervision Procedures, reviews Flagged Alerts for, among other things, identify potential non-compliant behaviors and lack of compliance with Bank policies. This includes:
Performing review, assessment, disposition and documentation of alert reviews in accordance with GBM Communication Supervision Procedures and standard times. Warranting the confidentiality of the information is always maintained and ensuring that recording review results are concise and accurate. Performing timely escalation and documentation of alerts to Level 2 teams when required according to escalation procedures. Maintain expected productivity and quality standards as defined through performance metrics. Actively identify process, technology and systems improvement opportunities, and participate as appropriate in the implementation process. Relationship Management: Develops and maintains strong relationships with GBM Internal Controls and applicable support and control functions to remain current on new developments and emerging risks. Other Projects and Activities: Manages/Performs ad-hoc, unique and/or focused reviews as necessary; and other duties and projects as assigned. Risk Appetite and Risk Culture: Understands how the Bank's risk appetite and culture should be considered in day-to-day activities and decisions. Regulatory and Operational Risks: Contributes/Creates an environment in which he/she pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct. Dimensions This role will support the implementation, documentation, assessing, and oversight on the activities contained in:
• Global Voice and Electronic Communications Policy
This role will support Global Banking & Markets and International Banking.
Education / Experience Strong problem solving, critical thinking, and negotiating skills. Strong written and verbal skills (must be able to prepare documentation and interact effectively with other Bank departments). Good accountability and time-management skills. Thorough knowledge of Bank's regulations, policies, procedures, operations, and functions (preferred but not required). Working knowledge of the roles and responsibilities of Global Banking & Markets business units and related business functions across Canadian & International Banking units including various delivery channels. Highly motivated; demonstrated ability to multi-task and deliver in a fast-paced, challenging and dynamic business environment. Strong proficiency of Excel. Bachelor's degree in business management, finance or accounting.
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