Professional Consulting - Toronto

Our client in Banking and Finance Industry is seeking Senior Compliance Analyst for Toronto location. This is a 6 months contract location.
 
Description:
 
Group information and how they fit in with the rest of the bank(working with other groups within the bank):
• national head office compliance team for bank and its dealer for investments sold through retail banking network (mutual funds, term investments, etc.)
• their job is to make sure that the bank is effectively serving customers by ensuring and facilitating compliance with the changing regulatory landscape for investment dealers.
• Second line of compliance
 
Candidate Value Proposition (CVP):
• gain experience in head office compliance programs and deeper understanding of the bank’s risk management framework
• opportunity to contribute to transformational change in processes and procedures, with a focus simplifying, unifying, and accelerating. 
• strengthen written and oral communication skills through direct communications with customers, business partners, and regulators
• deepen understanding of real-life application and impact of regulatory requirements
• culture, friendly working environment
 
Team Culture:
• very collaborative
• supportive environment in a time of change (both in staffing and changing responsibilities)
• current team-wide focus on elevating our performance and how we do things in order to clear backlogs and meet business and regulatory objectives
• 7 people on the team, with additional members joining imminently
Role Responsibilities Include (but are not limited to):
• reviewing, investigating, and responding to customer and regulatory issues
• assessing compliance risk across the branch network and assisting first line compliance and the business with compliance issues
• monitoring and surveilling trade activities
 
Must-Have Skills:
• ability to think critically and apply regulatory requirements to complex and ambiguous real-life situations, including complaints and supervisory investigations.
• mutual fund/investment dealer experience, either in a compliance/risk function or at the branch level (advisor, branch manager or assistant branch manager, etc.).
• some familiarity with MFDA Rules and/or CSA or AFM requirements. 
 
Nice-to-Have:
• FI experience
• other compliance experience
• customer service experience
 
Soft Skills:
• VERY strong communication skills written and oral
• Strong judgement
• Professional/positive
• self-managing
• multitasking – be able to handle large volumes of work and competing priorities
 
Educational Requirements:
• University degree/College diploma – Must have
• preference for the following:
• Individuals with some securities training (eg, CSC, CPH, IFIC, Branch Manager’s Course, Branch Compliance Officer Course, etc.)
• Government affairs
• Financial
• Legal clerks
 
 
To apply, please send your resume to: a.ravi@maxsys.ca

Position Type Contract
Application Deadline June 7, 2019
Experience Required 3 years
Job Duration 6 months
Education Required College Diploma