Compliance

• Provide executive leadership across Strategic Initiatives & Innovation, Data & Insights, Registration & Licensing, and Governance Programs & Initiatives
• Integrate regulatory execution, governance and control frameworks, modernization, portfolio delivery and business priorities through a common strategy, roadmap and operating model
• Set priorities, allocate resources and lead the Director team
• Ensure initiatives progress from concept through adoption and sustainable ownership
• Set and execute an integrated multi-year strategy and roadmap aligned to organizational priorities, regulatory obligations, business outcomes and investment capacity
• Establish portfolio governance for intake, prioritization, sequencing, benefits realization, executive reporting and transition to business ownership
• Advise senior leaders on outcomes, trade-offs, dependencies, risks, capability gaps and decisions or escalations
• Build enterprise partnerships and lead portfolio-level change through direction, stakeholder engagement, communication, training, adoption and accountability
• Strengthen regulatory defensibility and first-line ownership through governance, control and supervision capabilities
• Lead regulatory change execution from horizon scanning and impact assessment through requirements, implementation, adoption and sustainable compliance evidence
• Oversee attestations, audit and regulatory findings, remediation commitments and management action plans
• Ensure field leaders, advisors and business partners receive guidance, communications and training
• Develop and execute modernization across process and operating-model redesign, technology, analytics, automation, AI and GenAI-enabled capabilities
• Provide executive oversight of registration and licensing operations
• Set direction for analytics, dashboards and performance measures
• Sponsor discovery through scaling, using evidence-based criteria to stop, iterate or expand solutions

AVP, Strategic Programs, Innovation, Insights, Regulatory Operations

• Support implementation and execution of Coinbase Canada's compliance program covering AML/ATF, KYC, sanctions, transaction monitoring, and FINTRAC regulatory reporting
• Own AML/ATF compliance reporting, including fiat and virtual asset transaction reports, STR and LVCTR filings
• Manage and review compliance cases within defined SLAs and advise internal stakeholders on escalations, EDD reviews, and high-risk or complex matters
• Track FINTRAC announcements, legislative changes, and industry developments and translate them into program updates
• Coordinate responses to fiat-partner RFIs, including timely extraction of user data and supporting documentation
• Lead or support automation initiatives for KYC, EDD, and reporting processes with CX, Legal, and Tech teams
• Execute Canadian risk assessments and compliance reporting to address financial crime risks

Senior Compliance Associate

• Lead the creation, revision, review, agreement, and maintenance of Investigational Medicinal Product (IMP) and Calibration Labeling
• Collaborate with Regulatory Affairs, Clinical Operations, Quality, Contract Research Organizations, Contract Manufacturing Organizations, translation vendors, artwork vendors, and packaging vendors
• Ensure label content reflects approved protocol requirements, product characteristics, storage conditions, and country-specific requirements
• Ensure compliance with local and regional regulations and internal policies across the United States, European Union, United Kingdom, Australia, Canada, Asia-Pacific, and other participating countries
• Provide labeling expertise during protocol development, clinical study start-up, amendments, and country expansion
• Coordinate translation activities and verification of multilingual labeling content
• Coordinate artwork review and approval in the compliance system
• Manage version control and change management for IMP documentation
• Support IMP labeling submissions or notifications where required
• Evaluate new regulatory requirements and industry trends and assess impacts on studies
• Support regulatory inspections and audits with IMP documentation and subject matter expertise
• Serve as regulatory point of contact for IMP labeling, independently resolving issues and escalating complex matters
• Maintain efficient labeling processes using standardized templates, checklists, and workflows
• Identify process improvements, best practices, and tools
• Assist with other clinical or commercial labeling activities and special projects

Manager, Regulatory Affairs – Clinical Labeling

• Conduct inspections and audits of BCER-regulated energy-sector activities, including wells, pipelines, production facilities, roads, drainage, and engineered structures
• Operate air-quality and noise-monitoring equipment and interpret gathered data
• Investigate suspected legislative non-compliance and recommend warnings, tickets, administrative actions, penalties, contraventions, equipment seizure, permit cancellation, or prosecution
• Draft and issue orders requiring shut-in, technical, environmental, or safety actions, or submission of documents and plans
• Monitor order requirements and deadlines
• Maintain and review case files and advise program staff on investigative and enforcement options
• Compile investigative information and write reports for court or administrative proceedings
• Provide expert testimony and act as prosecutor for disputed violation tickets
• Plan, coordinate, participate in, and lead provincial, inter-provincial, inter-regional, or international investigations and enforcement projects
• Attend complaints, incidents, and emergencies; participate in emergency response and root-cause investigations
• Analyze submissions, prepare hearing and court documents, maintain inspection reports and compliance/enforcement systems, generate reports, analyze trends, and recommend improvements
• Participate in public and First Nations meetings and discussions with industry, government agencies, and stakeholders
• Travel and work in adverse weather or hazardous conditions and use specialized equipment
• May supervise 1–3 full-time employees and act as Supervisor during absences

Compliance & Enforcement Officer – Enforcement Investigations

• Lead end-to-end investigation and de-escalation operations for critical customer complaints
• Act as the final escalation point for complex issues
• Manage carrier audits and state regulatory complaint workflows
• Author, review, and finalize correspondence to state departments of insurance, carrier partners, and consumers
• Partner with Legal, Product, and Engineering to turn audit findings and complaint trends into product changes, automated checks, and process fixes
• Own the complaint log and related compliance workflows
• Maintain accurate, audit-ready records for market conduct examinations and state data calls
• Meet statutory deadlines and internal SLAs
• Serve as primary operational liaison for carrier partners during claims investigations, regulatory inquiries, and information audits
• Provide operational guidance, quality oversight, and subject-matter expertise to customer service, compliance, and claims support teams
• Maintain documentation of complaint trends, regulatory correspondence, and resolution timelines
• Inform leadership about emerging compliance risk areas

Senior Lead – Insurance Compliance & Regulatory

• Monitor the internal control system
• Ensure supervisory controls are completed and oversee execution quality
• Complete certain supervisory controls and reporting
• Liaise with relevant Desjardins components
• Support the senior compliance officer in monitoring investment product distribution activities and reporting
• Manage operational risk activities, including risk and control self-assessment, operational loss input, business continuity planning and information security
• Help managers identify and implement corrective measures
• Ensure activities related to money laundering and terrorist financing legislation (PCMLTFA) are carried out
• Comply with policies, practices, standards and legislation governing the distribution of financial products and services
• Analyze issues and situations, conduct preliminary analyses, and prepare opinions and implementation plans
• Support professionals in the unit and assist clients and partners

Control, Risk and Compliance Analyst

• Lead and manage the effective execution of compliance and governance initiatives for Group Disability
• Position Sun Life as a leader in Organizational Disability Management by identifying and delivering thought-leadership opportunities
• Serve as subject matter expert in disability management compliance and governance for complex, cross-functional strategic initiatives
• Enhance disability operations knowledge and develop innovative solutions with internal and external partners
• Create practical solutions addressing client needs and supporting sustainable recoveries
• Support continuous improvement initiatives through the Practice Excellence and Innovation team
• Author and maintain the Business Continuity Plan
• Manage daily Compliance and Governance inbox operations
• Oversee Privacy Breaches, LTD Large Benefit Payment Reports, Business Impact Assessments, and consent committees
• Manage Group Disability compliance and governance across SOX, 3416, Internal Audit, Deloitte, and OSFI frameworks
• Develop and enhance audit processes, including extended audits, trending analysis, audit narratives, matrices, and AVP National-level reporting
• Conduct attestations, substantive testing, risk validations, and Life Cycle Data destruction activities
• Identify, assess, monitor, and report financial and business risks within Group Disability activities
• Collaborate with Business Units and Corporate Risk Management to reinforce a risk-management culture
• Develop tools and frameworks for compliance and governance control analysis and management
• Provide compliance and governance support to Group Disability Claims operations and coordinate escalated case conferences
• Support Group Disability Claims initiatives from a compliance and risk perspective
• Provide leadership, management, and development support to Group Disability Learning & Development teams
• Document and communicate governance and compliance challenges, responsibilities, and developments

Senior Consultant, Compliance

• Lead and manage the effective execution of compliance and governance initiatives
• Position Sun Life as a leader in Organizational Disability Management by identifying and delivering thought-leadership opportunities
• Serve as subject matter expert in disability management compliance and governance for complex, cross-functional strategic initiatives
• Enhance disability operations knowledge and develop innovative solutions with internal and external partners
• Create practical solutions addressing client needs and supporting sustainable recoveries
• Support continuous improvement initiatives through the Practice Excellence and Innovation team
• Author and maintain the Business Continuity Plan
• Manage daily Compliance and Governance inbox operations
• Oversee Privacy Breaches, LTD Large Benefit Payment Reports, Business Impact Assessments, and consent committees
• Manage Group Disability compliance and governance across SOX, 3416, Internal Audit, Deloitte, and OSFI frameworks
• Develop and enhance audit processes, including extended audits, trending analysis, audit narratives, and matrices, with AVP National-level reporting
• Conduct attestations, substantive testing, risk validations, and Life Cycle Data destruction activities
• Identify, assess, monitor, and report financial and business risks within Group Disability activities
• Collaborate with Business Units and Corporate Risk Management to reinforce a Risk Management culture
• Develop tools and frameworks to enhance compliance and governance control analysis and management
• Provide compliance and governance support to Group Disability Claims operations and coordinate escalated case conferences
• Support Group Disability Claims initiatives from a compliance and risk perspective
• Provide leadership, management, and development support to Group Disability Learning & Development teams
• Document and communicate governance and compliance challenges, responsibilities, and developments

• Execute commercial Lifecycle Management (LCM) strategy and submissions with a focus on US/CA/EU
• Review CMC sections of regulatory submissions, interactions, and responses with regulatory agencies
• Work with regulatory colleagues to develop global regulatory CMC strategies and submissions
• Participate effectively on cross-functional teams
• Serve as the primary regulatory CMC contact for assigned products and projects

Senior Regulatory CMC Consultant – Small Molecule, Veeva RIM

• Become a compliance subject matter expert in multiple jurisdictions
• Track regulatory requirements and work with internal business teams to satisfy them
• Assist business teams in developing procedures and processes to satisfy regulatory obligations
• Maintain and revise the Company’s regulatory internal controls
• Build and maintain relationships with gaming regulators in multiple jurisdictions
• Assist with licensing, registration, and regulatory examination activities
• Monitor regulatory developments and escalate relevant changes to stakeholders
• Support regulatory reporting obligations and compliance documentation
• Identify opportunities to improve operational workflows and reduce compliance risk
• Manage multiple projects with clear and consistent communication
• Support cross-functional teams during product launches and market expansion initiatives
• Provide ongoing regulatory support and guidance across the business
• Collaborate with Legal, Product, Payments, Operations, and Responsible Gaming teams
• Report to the Senior Manager, State Compliance within the Regulatory Affairs team

Compliance jobs in Canada

AVP, Strategic Programs, Innovation, Insights, Regulatory Operations

Senior Compliance Associate

Manager, Regulatory Affairs – Clinical Labeling

Compliance & Enforcement Officer – Enforcement Investigations

Senior Lead – Insurance Compliance & Regulatory

Control, Risk and Compliance Analyst

Senior Consultant, Compliance

Senior Consultant, Compliance

Senior Regulatory CMC Consultant – Small Molecule, Veeva RIM

Jurisdiction Compliance Analyst