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Chief Compliance Officer, Director, Rogers Bank


Toronto Ontario
19 Jun 2017
  • Financial Services / Insurance / Banking
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Job Details

Chief Compliance Officer, Director, Rogers Bank

Chief Compliance Officer, Director, Rogers Bank

Date: May 30, 2017

Location: Toronto, ON, CA, M4W 1A9

Every day, we strive to build a brilliant digital future for Canadians. We work as one team, with one goal –serve our customers better.

As Chief Compliance Officer, Chief Anti-Money Laundering Officer, and Chief Privacy Officer, the incumbent will be responsible for overseeing the design, implementation and maintenance of the Bank’s Regulatory Compliance Management (RCM), Anti-Money Laundering (AML/ATF), and Privacy programs.


The Chief Compliance Officer (CCO) will work within an Enterprise Risk Management framework to provide independent oversight of compliance with laws and regulations. This includes assessing the adequacy and effectiveness of policies, procedures in line with regulatory requirements.


In addition, the CCO will be responsible for the day-to-day monitoring of adherence to its compliance policies and procedure.  The CCO will be a key member of the Senior Management team, reporting to the Chief Risk Officer.  


Key Responsibilities / Duties:


  • Develop, and maintain policies and procedures relating to the Bank’s RCM, AML/ATF, and Privacy programs, ensuring they are up to date with current regulatory requirements.
  • Monitor the adequacy and effectiveness of key RCM, AML/ATF, and Privacy program controls, reviewing key controls on on-going basis to determine areas of improvement.
  • Conduct independent monitoring and testing to determine the adequacy of and adherence to regulatory requirements and internal policies, investigating and responding to Compliance related issues.  Manage internal and external regulatory reviews in order to evidence the presence of sound risk management practices
  • Attest to Regulators, Board of Directors, and Senior Management that the Bank has effective policies and procedures, providing reasonable assurance that the Bank is in compliance with pertinent regulatory requirements. Provide reporting as required to regulatory supervisors such as OSFI, FCAC, FINTRAC, OPC, and independent review functions.
  • Develop Compliance related training curriculum and deliver ongoing training programs for employees and management covering key applicable legal / regulatory requirements.
  • Participate in pertinent risk and business committees. Provide proactive guidance and support to the business on Compliance related matters.


Position Requisites:


  • Current and in-depth experience in the implementation and maintenance of the Regulatory Compliance Management framework in a Canadian, Federally Regulated Financial Institution.
  • Current and in-depth experience in Canadian Privacy, AML/ATF, and Know Your Customer practices.  Certifications in AML/ATF and/or CIPP/C are preferable.  
  • Degree in business or related discipline, risk related qualification or equivalent experience.
  • 10+ years of Canadian or International Financial Services experience.  Well versed in all aspects of Consumer Banking and the various front/middle/back office support structures.
  • Ability to work autonomously, in small teams, directly with the Chief Risk Officer, with members of the Bank’s Senior Management team, driving commitment and engagement throughout the business, acting as an owner and a driver.
  • Demonstrated knowledge of the Canadian Regulatory environment, applicable laws, regulations, industry best practices, and practical application of controls.
  • In depth knowledge of the impact of Canada's privacy regime on complex, diversified franchises.
  • Highly developed and demonstrated analytical skills, with attention to detail.
  • Proven ability to transform overarching objectives into an executable plan, identifying and removing barriers to success, and demonstrating a proven ability to build sound, repeatable processes.
  • Able to effectively engage and communicate clearly with business partners, regulators, and Board of Directors.


As part of the recruitment process, the selected candidate will be required to provide employment references and successfully complete a background check which includes credit and criminal check.






Shift: Day
Length of Contract: Not Applicable (Regular Position)
Work Location: 350 Bloor Street East (299), Toronto, ON 
Travel Requirements: Up to 10%
Posting Category/Function: Banking & Compliance
Requisition ID: 100798
As a proud Canadian company, we're dedicated to making things easier for our customers. We’ve been embracing and leading change for over 50-years, and we’ll continue to seek out new opportunities to bring our customers simple solutions for today and tomorrow.
At Rogers, we recognize that success is determined by the strength and diversity of our people. We work together because we want to win together, and these five shared values guide and define our work:
  1. Simplify and innovate
  2. Take ownership of the what and the how
  3. Equip people to succeed
  4. Execute with discipline and pride
  5. Talk straight, build trust, and over deliver
Why Rogers? Because we believe the best is yet to come.
We recognize the business value in creating a workplace where each team member has the tools to reach their full potential. At Rogers, we value the insights and innovation that diverse teams bring to work. We work with our candidates with disabilities throughout the recruitment process to ensure that they have what they need to be at their best. Please reach out to our recruiters and hiring managers to begin a conversation about how we can ensure that you deliver your best work. You can also reach out to our team at to begin a conversation about your individual accessibility needs throughout the hiring process.
Posting Notes:  Corporate || Canada (CA) || ON || Toronto || SF:LI; SF:LI-ND1 ||


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