Chief Compliance Officer

• Liaises and coordinates with regulatory bodies as the designated point of contact.
• Maintains strong working relationships with all relevant regulators.
• Coordinates with head office compliance and AML teams on anti-money laundering (AML) and compliance matters.
• Provides guidance to business units on compliance, regulatory, and AML issues, including proper interpretation of regulations.
• Reviews regulatory issuances and advisories, ensuring timely circulation of relevant updates from official sources to concerned divisions.
• Ensures branch-wide compliance with all regulatory requirements and monitors adherence across the organization.
• Conducts gap analyses between regulatory issuances and internal policies/procedures.
• Ensures the timeliness, integrity, and accuracy of all documents submitted to regulators.
• Reviews and conducts compliance tests, including self-audits, semi-annual reviews, and independent testing.
• Monitors submission of covered transaction reports (CTRs) and suspicious transaction reports (STRs), ensuring they meet deadlines, and acknowledges filings.
• Maintains familiarity with key regulatory reports and requirements (e.g., financial reports, capital adequacy ratios, and related metrics).
• Handles other assigned duties as required.

Bershaw