Director, Risk & Compliance

At Odyssey Transfer and Trust Company, we do things differently. Our core mission is to provide peace of mind to our clients by making things simple, fast, and easy.

Odyssey is a tight-knit, solution-driven team. Our shared values, as defined by our own employees, guide us in reaching our individual and collective goals:

• We Show Up for Each Other: We are in this together! We collaborate and support each other to get results. Our employees are compensated with competitive salaries and a comprehensive benefits package.
• We Build: “Outside the Box” is our playground. We’re not afraid to innovate and tackle tough problems – we’re here to disrupt the industry. Creativity and problem-solving is not reserved for the Executive team.
• We Get Stuff Done (GSD): We have a notable reputation for being exceptionally responsive. Coming up with a great idea is only part of the solution; We take great ideas and put them into action.
• We Do the Right Thing: We’re dependable, trustworthy, and proud of our professional standards.

Primary Responsibilities & Attitude

Our business is continually evolving, and you will help us shape its growth. We’re looking for someone who is known for their work ethic, takes initiative, considers themselves to be entrepreneurial, innovative, and likes a challenge.

You are responsible for:

• Support all regulatory compliance matters.
• Review/complete regulatory reporting requirements and submit to the respective regulator as required
• Assist with oversight and guidance for AML program
• Conduct quality assurance on AML functions
• Manage related parties’ information and process policy documentation
• Perform monitoring & testing activities as scheduled
• Support development and maintenance of metrics collection and reporting
• Demonstrate a strong awareness of internal controls assertions and maintain a high standard of documentation
• Manage Risk & Compliance policy documentation
• Provide oversight and guidance for business unit policies and procedures, training materials and other communications required due to new or changing laws and regulations, and conduct periodic reviews to ensure they remain current
• Provide practical regulatory advice to managers and support functions
• Interpret audit, risk and compliance requirements for various departments and identify/escalate potential concerns to the CRO
• Review and assess potential fraud activity and develop fraud detection tools
• Assess, investigate (where required) potential privacy incident concerns and escalate (where appropriate) in a timely manner
• Where required, complete Privacy Impact Assessment and recommend steps for resolution, including policy documentation or procedural improvements
• Support regulatory projects, audits, and initiatives, as required
• Work with the Canadian Risk & Compliance Team and other Management to embed a risk-based culture and compliance awareness at Odyssey
• Works collaboratively to support team goals
• Other duties as required

Skills and Experience:

• 5+ years of experience in a relevant field relating to Risk, Regulatory Compliance, and AML
• Demonstrated internal controls knowledge and experience
• Critical thinking and ability to see the ‘big picture’
• Strong documentation, communication, analytical, critical thinking, problem-solving skills, and a strong work ethic
• Experience in drafting policies & procedures through implementation
• Experience in an oversight function conducting QA/QC and being able to give valuable feedback and update processes to a successful standard
• Track record of working closely with regulators (e.g. SEC, FINCEN)
• Experience working in a shared service environment, ideally within a securities-based environment
• Project management skillset including organizational and time management skills
• Proficiency with Microsoft Word, Excel, and PowerPoint

What We Offer:

Benefits: Health and Dental, Life Insurance, Long Term Disability, AD&D, Employee Assistance Program, $500 Health Savings Account, RRSP Match.

We thank all candidates for their interest; however, only those selected for an interview will be contacted. By submitting your resume, you consent to the collection, use and necessary disclosure of the personal information provided during the application and selection process.