Process Manager - Regulatory Compliance & Business Process Management

Location: Toronto, ON – Onsite 4 days per week

Job Type: 12-Month Contract

Extension: Possibility of extension or conversion to permanent employment

Working Hours: Monday to Friday, 9:00 AM – 5:00 PM, 37.5 hours per week (possible overtime)

Job Description

Our financial services client is seeking an experienced Senior Manager – Regulatory Compliance & Business Process Management to support regulatory initiatives, business process implementation, operational controls, and organizational change within Global Wealth Management.

This role focuses on developing and implementing regulatory compliance processes, interpreting regulatory obligations, improving operational procedures, and collaborating with stakeholders across multiple business units.

A key responsibility will be supporting the development and maintenance of Records Inventories, ensuring business processes and associated documentation align with enterprise policies, regulatory requirements, and internal controls.

The ideal candidate will have a strong background in regulatory compliance, business process management, risk and controls, or audit, preferably within banking, asset management, or wealth management.

Key ResponsibilitiesRegulatory Compliance & Risk Management

• Interpret regulatory obligations, compliance requirements, and internal controls applicable to financial services operations
• Work with business stakeholders to identify and document records required to satisfy regulatory obligations
• Ensure business processes and records inventories align with enterprise policies and regulatory requirements
• Identify compliance gaps, operational risks, and control deficiencies, escalating issues to senior management as required
• Support regulatory compliance initiatives involving CIRO, OSC, and other applicable regulatory frameworks

Business Process Management & Improvement

• Support the implementation of new business processes, operational procedures, and compliance controls
• Review existing processes and identify opportunities for standardization, optimization, and improvement
• Develop and document processes, workflows, procedures, and operational requirements
• Recommend improvements to enhance regulatory compliance, process efficiency, and operational effectiveness
• Support the development of business-specific procedures and governance practices

Organizational Change & Stakeholder Management

• Support organizational change associated with the implementation of new regulatory and operational processes
• Engage business stakeholders to communicate process changes, requirements, and implementation expectations
• Facilitate collaboration across compliance, risk, operations, and business teams
• Provide guidance to stakeholders on regulatory processes, records management practices, and enterprise policies
• Support the adoption of new processes and procedures across business units

Records & Information Management

• Support the development, implementation, and ongoing maintenance of comprehensive Records Inventories
• Collaborate with business units to identify regulatory records, documentation requirements, and associated controls
• Maintain records inventories as regulatory obligations, business processes, and controls change
• Ensure records inventory activities comply with Enterprise Records Management Policies
• Contribute to the development and improvement of Records & Information Management procedures

Project Coordination & Reporting

• Assist senior leadership with project planning, timelines, and implementation schedules
• Coordinate activities across multiple business units and stakeholder groups
• Monitor progress, track deliverables, and prepare status reports for management
• Identify project risks, issues, and dependencies and escalate when appropriate
• Support additional regulatory compliance and process improvement initiatives as required

Required Qualifications

• 7+ years of experience working on projects involving implementation of new business processes and organizational change
• Strong experience interpreting regulatory obligations, compliance controls, and associated documentation requirements
• Knowledge of financial services regulatory requirements, including CIRO, OSC, or similar regulatory frameworks
• Experience supporting business process implementation, compliance initiatives, or operational improvements
• Strong stakeholder engagement, relationship management, and communication skills
• Ability to coordinate multiple activities, document requirements, and support process adoption across business units
• Proficiency in Microsoft Excel, PowerPoint, and Word
• Undergraduate degree required

Preferred Qualifications

• Experience within banking, asset management, or wealth management
• Background in regulatory compliance, internal audit, risk management, or operational controls
• Experience with business process improvement and regulatory change initiatives
• Knowledge of Records & Information Management (RIM) practices and records inventory processes
• Experience working with cross-functional teams in a regulated financial services environment

Ideal Candidate Profile

The ideal candidate has significant experience in asset management or wealth management compliance, regulatory audit, business process implementation, or operational risk and controls.

We are particularly interested in professionals who have successfully implemented new processes, interpreted regulatory requirements, worked with business stakeholders, and supported organizational change initiatives.

This is a process-driven regulatory compliance role rather than a traditional document management or records administration position.

Interview Process

• 1–2 interview rounds
• Initial interview: 45-minute in-person panel with the Director and Senior Manager