Candidate Value Proposition

• This is an exciting opportunity for a motivated individual to grow their career in a dynamic and evolving environment. The successful candidate will work closely with the Chief Compliance Officer, gaining valuable exposure to senior leadership and strategic decision-making. This role offers a clear pathway for professional development and is ideal for someone looking to build a long-term career in compliance or financial services.

You'll be joining a supportive and high-performing team during a transformative time at the bank. With significant changes underway, there are ample opportunities to learn, contribute, and make a meaningful impact. If you're looking for a place where you can grow, be challenged, and thrive-this is the place to be.

Job Summary:

The Compliance Director, Regulatory Compliance Management is a seasoned and experienced professional with subject matter expertise in reviewing and interpretating banking legislation and documenting requirements and opinions in plain language. The individual in this role is responsible for the preparation and delivery of quarterly, annual and ad hoc compliance reports for applicable stakeholders including for client's Board of Directors and associated committee(s) in consultation with the CCO. The Compliance Director must also have a firm understanding of bank industry issues impacting the business. The individual in this role also is responsible for maintaining policies and procedures.

In addition to the Bank Compliance team, this role interacts with regulators, executive leadership, Legal, Risk, Audit and Line 1B Governance and Controls teams.

Key Accountabilities:

1. Lead the ongoing management of the regulatory compliance management program, as well as policies and procedures to ensure that meet applicable regulatory requirements.

2. Manage, prepare and develop all compliance reporting, in consultation with the CCO, on a monthly, quarterly, annual and ad hoc basis, including reporting to executive leadership, regulators, the Board of Directors and associated committee(s) of the Board of Directors.

3. Act as the point person to manage all regulatory communications and interactions working with the CCO.

4. Review, interpret and summarize applicable legislation and ensure relevant stakeholders understand the requirements and actions needed to meet compliance requirements.

5. Develop, update and maintain applicable team training programs, including the distribution to various stakeholders.

6. Lead the management of all regulatory records in the regulatory compliance management database (RCMD) for completeness and accuracy, risk and control assessments, and assessing controls within the RCMD.

7. Manage potential compliance issues and action plans along with the Line 1B Governance and Controls team and business partners.

8. Manage the CDRO, including all escalated complaints, interacting with the OBSI, identifying and reporting trends.

9. Review, prepare and develop documentation in response to regulatory reviews, audits and examination requests, working closely with the CCO and members of the Bank Compliance team.

10. Participate in any other tasks that may be assigned from time to time.

Candidate Requirements/Must Have Skills:

1) 5-10 years experience Specialized compliance expertise and/or legal experience working in the banking industry.

2) Ability to review, interpret and document legislation and regulatory requirements.

3) Subject matter expertise in banking legislation, products and procedures in various operational areas is desirable.

4) Ability to convert technical legislative requirements into suitable advice and be able to communicate difficult concepts and information to business partners.

5) Ability to interact with regulatory staff to ensure efficient handling of escalated licensing issues.

6) Ability to use LAN and PC applications including: Windows, Archer, Microsoft Office, Excel, AWD.

Nice-To-Have Skills:

1) Legal background would be considered an asset.

2) Experience with the Archer system would be considered an asset.

Required Soft Skills:

• Highly organized, efficient and can manage multiple tasks in a high paced environment.

• Excellent written and verbal communication skills, with the ability to simplify complicated messages.

• Excellent sense of judgment and ability to lead a team

• Proven interpersonal, negotiation and relationship management skills. Must be able to exchange and clarify details of information in a controlled and confident manner.

• Ability to work with fluid and changing accountabilities.

• Team player who is willing to assist team members on projects and assist in sharing workloads when necessary.

• Ability to work independently and in a team environment.

• Ability to work with multiple objectives, conflicting priorities and complex issues.

• Professional attitude and adherence to a high ethical standard.

• Ability to readily recognize and evaluate the impact of current or potential compliance issues.

• Ability to quickly understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, make practical recommendations and exercise good judgment in escalating issues.

• Ability to interact effectively with management and counterparts in other business units.

• Ability to deliver effective training on compliance issues and requirements.

• Ability to take responsibility for compliance programs and operate to ensure that compliance objectives are achieved.

Education: Bachelor degree

Key Problems/Challenges:

• Must be able to exercise judgment in quickly identifying issues, challenging courses of action, assessing risks. Must be able to easily develop recommendations and modify plans as business conditions change.

• Balance business needs against the policies, procedures and practices necessary to ensure compliance with regulatory obligations.

• Influence others on compliance issue resolution without direct authority and be a strong facilitator.

• Deal with sensitive issues that could be exposed to the media or regulators.

Best vs. Average: A best candidate for this role is a highly polished communicator who can clearly and confidently convey complex regulatory information both in writing and in meetings. They are exceptionally organized, efficient, and thrive in fast-paced environments, managing multiple priorities without losing focus. They come in with a solid understanding of banking regulations and can immediately support management in regulatory meetings, offering both strategic insight and professional presence. Their attention to detail ensures that documents are accurate, well-prepared, and require minimal revision. They are proactive, anticipating needs and contributing meaningfully to regulatory interactions.