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Associate Director, Compliance & Risk Management Job

Date: Apr 22, 2014

Location Toronto, ON, Canada

Company: Alliance Data

About the Opportunity

Reporting to the Director, Finance this role is accountable for managing financial compliance and risk management activities in line with Alliance Data policies and under the company-wide governance mandate of Finance.

The Associate Director will initially lead a team of two Analysts and will primarily be responsible for oversight over SOX requirements, fraud mitigation activities, risk management processes and policy compliance monitoring.   The role may also be called upon to lead research initiatives for accounting and reporting compliance.

This position will ensure the function has a solid understanding of all policies and procedures as well as all financial, operational, product and front-to-back processes within the business.  Critical to success will be focusing on being proactive to identify, mitigate and report on all non-compliance occurrences in order to minimize financial risk and/or loss.

Internal and External Relationships: 

  • Ability to work with all levels in the organization including Executive Committee (EC).
  • Facilitate discussions in cross-functional teams on company-wide compliance and risk management issues e.g. large scale projects, leading a fraud task force, and training
  • Ensuring compliance with ADS policies company-wide and working with ADS Corporate teams e.g. SOX, Internal Audit, Enterprise Risk Management, Legal, Finance, HR etc.
  • Work with local Legal and HR to resolve employee fraud or other compliance issues
  • External interactions may include law enforcement authorities, collectors, sponsors, clients, vendors etc.


  • Direct the SOX process for LoyaltyOne to ensure timely support of deliverables (narratives, walkthroughs, testing), prompt remediation of deficiencies and effective communication with the Alliance Data SOX team.
  • Drive robust fraud mitigation activities including effective process reviews, monitoring, tools, protocols, awareness and investigations.  Ensure strong partnering with Legal, HR, Customer Care and Sponsor Account Teams.
  • Oversee risk management processes e.g. vendor due diligence and routine vendor oversights, collections etc. Liaising with Alliance Data corporate will be required as vendor oversights are reviewed across all Lines of Business (LoB) on a quarterly basis.
  • Institute and sustain effective monitoring processes to ensure compliance with Alliance Data policies e.g. procurement, travel & entertainment etc.
  • Lead and ensure clear and concise research initiatives to support accounting and reporting compliance as required. 
  • Participate in the update of the Enterprise Risk Management Register as required.
  • Key contact with Internal and External Audit teams on compliance and risk management matters.
  • Lead education, training and internal consulting initiatives for the organization in respect of financial compliance and risk management.



  • Bachelor's Degree in Accounting, Finance or Business
  • Designations:  Accounting Designation (CPA, CA preferred) and Certified Fraud Examiner (CFE), and/or Diploma in Investigative and Forensic Accounting (DIFA)
  • CA with specialized training and experience in SOX, fraud mitigation and risk management
  • Ideally has experience with state-of-the-art fraud technology
  • Minimum of 5-7 years of directly related work experience in compliance, fraud and risk management
  • Minimum of 3 years of Supervisory/Management experience
  • Demonstrated strengths in communication, organization and attention to detail.
  • Strong ability to be self-motivated and take initiative
  • Ability to provide strong conceptual and analytical capabilities
  • Requires advanced Excel expertise
  • Proficient in Word, PowerPoint, Visio and Access

About Us


LoyaltyOne is a subsidiary of Alliance Data Services headquartered in Dallas, Texas. LoyaltyOne works with more than 100 of North America's leading brands in the retail, financial services, grocery, petroleum retail, and travel and hospitality industries to profitably change customer behavior. Through a team of businesses, including the AIR MILES Reward Program, that each specialize in a loyalty discipline, LoyaltyOne designs, delivers and manages a suite of loyalty marketing services focused on consumer data, customer-centric retail strategies, direct-to-consumer marketing, loyalty consulting and more.

Furthermore, for the last 5 consecutive years (including 2014), LoyaltyOne was recognized by Hewitt Associates as one of the 50 Best Employers in Canada, demonstrating LoyaltyOne's continued commitment to providing a great work experience for its associates and a great service experience for its clients.

Location: Toronto, ON, Canada
Job: Accounting-Finance
Organization: LoyaltyOne
Schedule: Regular
Job Type: Full-time
Job Posting: 2014-04-07
Req ID: 0060238

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