Intermediate Compliance Analyst

2 weeks ago

markham, Canada Robertson & Company Ltd. Full time

Our Client:

Our client is an International Bank with Canadian operations across major cities including Toronto, Vancouver, Calgary, and Montreal. They offer various services for Retail Banking, Corporate Banking, International Services, Investment Services, etc.


What You Will Achieve in this Role:

Reporting to the Head of Compliance & Chief Compliance Officer, the Compliance Analyst will be a more intermediate member of the team. You will support the Compliance department with assessing and overseeing Bank-wide regulatory compliance management (RCM), and compliance risks in accordance with OSFI E-13 guidelines and privacy and consumer protection regulations (excluding anti-money laundering and anti-terrorist financing). The Compliance Analyst will help design and implement control frameworks, coordinate with different departments, and execute testing programs to mitigate compliance risks. Additionally, you will contribute to compliance reporting and respond to ad hoc requests from the Parent Bank.


  • Assist in identifying, assessing, and inventorying applicable regulatory requirements with business units and departments.
  • Conduct gap analyses on new or amended regulations, develop implementation plans, and track progress.
  • Manage escalated customer complaints, maintain logs, and prepare quarterly reports for the Financial Consumer Agency of Canada.
  • Plan, execute, review, and test the Regulatory Compliance Management (RCM) program.
  • Document and map controls, identify gaps, and recommend action plans.
  • Review and update compliance policies and procedures related to CAOD.
  • Perform compliance testing across branches and departments.
  • Collect and review Quarterly Compliance Self-Assessment Certificates from the first line of defense.
  • Review and provide feedback on regulatory compliance for business marketing and promotional materials.
  • Track and monitor the remediation progress of compliance issues.
  • Develop and deliver training to the first line of defense, and update training materials as necessary.
  • Generate various tracking reports, including program status, controls, gaps, and remediation reports.
  • Offer compliance guidance and support remediation efforts to business units and departments.
  • Assist in preparing materials, drafting responses, and completing rectification actions from audits and regulatory inspections.
  • Provide training and guidance to junior team members.
  • Handle ad hoc duties from the Parent Bank and other tasks as assigned.


What You Must Bring to This Role:

  • High preference for fluent Mandarin-speaking candidates, both written and verbal.
  • 3 years of compliance experience within the Canadian financial services sector.
  • Strong understanding of regulatory compliance and risk management practices, particularly under OSFI E-13 guidelines and privacy and consumer protection regulations.
  • Demonstrated ability to observe, research, and interpret regulatory compliance requirements and identify risks associated with policymaking to develop applicable solutions or responses.
  • Experience interpreting laws and regulations (e.g. Bank Act, OSFI, FCAC, etc.) as they apply to the financial services sector.
  • Excellent communication skills for handling escalated complaints and preparing reports.
  • Experience in designing and executing compliance testing programs.
  • Ability to conduct thorough gap analyses and develop effective implementation plans.
  • Strong analytical skills to identify control gaps and recommend action plans.
  • A positive responsiveness and level of adaptability to change.

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