Our client in Banking & Finance Industry is seeking Senior Compliance Analyst for Toronto location. This is a 6 months contract position.
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, its dealer for investments sold through bank’s 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 banks 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
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
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.
other compliance experience
customer service experience
VERY strong communication skills written and oral
multitasking – be able to handle large volumes of work and competing priorities
University degree/College diploma Must have
Preference for the following:
-Individuals with some securities training (eg, CSC, CPH, IFIC, Branch Managers Course, Branch Compliance Officer Course, etc.)
To apply, please send your resume to: firstname.lastname@example.org
|Application Deadline||March 26, 2019|
|Experience Required||1-2 years|
|Job Duration||6 months|
|Education Required||College Diploma|