COMP - Compliance Analyst

Found in: Jooble CA O C2 - 1 week ago

Toronto ON, Canada Haventreebank Full time

Haventree Bank is a private Canadian Schedule 1 bank specializing in alternative mortgage programs and insured GIC deposits. We help hardworking Canadians from coast-to-coast achieve homeownership by offering flexible mortgage solutions. Our insured GIC deposits offer competitive rates and are available through a variety of wealth management platforms.

COMP - Compliance Analyst

About Haventree Bank

Headquartered in Toronto, Ontario, Haventree Bank (Haventree) is a mission driven alternative mortgage lender. The name Haventree is representative of the bank’s mission to help its customers find a place of refuge and to lay down new roots for the future. Haventree exists to be a catalyst of financial security and upward mobility for Canadians who are underserved by the traditional financial system.

Position Summary:

Reporting to the Senior Manager – Compliance RCM, the Compliance Analyst is responsible for helping to mitigate regulatory risk through participation in and execution of Compliance Function processes that comprise the Regulatory Compliance Management (RCM) program in accordance with OSFI’s Guideline E-13.

Major Duties & Responsibilities:

  • Work with the Senior Manager and the other Compliance Office member to maintain the Bank’s inventory of regulatory requirements ensuring its completeness and integrity, including working with and guiding operational management regarding their related responsibilities
  • Ensure completion of applicability assessments of regulatory requirements
  • Support inherent and residual risk assessments and operational control design assessments as they relate to regulatory risk and update the Governance Risk and Compliance (GRC) tool accordingly
  • Participate in execution of regulatory change management including the identification, assessment, and implementation of new or changed processes resulting from regulatory changes impacting the Bank and/or new or changed business processes
  • Maintain awareness and knowledge of regulatory compliance requirements, developments, and industry best practices through review of publications, participation in industry associations, employee development initiatives, etc.
  • Assist with the execution of Compliance Function monitoring processes
  • Participate in issues management process, such as logging, analysis, and remediation of findings raised by the Compliance Function, regulators, external parties or self-identified by the business areas
  • Assist with delivering staff training as required on Compliance requirements
  • Assist in the continual evolution of the RCM Program by identifying efficiencies and areas for improvement within the existing compliance program
  • Work with RCM Compliance Office members to develop and execute improvements within the Compliance Function policies and procedures
  • Support the preparation of monthly reports to Senior Management, on the status of the Bank’s compliance with regulatory requirements highlighting material issues where necessary
  • Provide effective review of reports from other departments and business units on any issues involving Regulatory Compliance control procedures

Qualifications & Experience:

Degrees, Diplomas & Certifications:

  • The position requires post-secondary education in a related discipline (business, compliance, audit, law, etc.) or equivalent combination of education and experience.

Years and Range of Experience Required to Perform the Job:

  • The position requires 1-3 years of experience in the financial services or retail banking industry, preferably in a compliance, audit, or legal role
  • Experience in a Federally Regulated Financial Institution strongly preferred
  • Knowledge of Canadian laws, particularly with respect to the Bank Act, Financial Consumer Protection Framework, and OSFI Guidelines
  • Experience in reviewing compliance processes, making recommendations for change and implementing changes is highly valuable
  • Strong critical thinking and analytical skills with a focus on problem solving and continuous improvement
  • Ability to work collaboratively with a diverse group
  • Strong communication skills (including oral, written, report writing, and presentation)
  • Ability to work under pressure by demonstrating a sense of urgency while maintaining a strong team spirit
  • Ability to approach any task with professional skepticism, curiosity, and enthusiasm
  • Technically adept, comfortable using GRC software (e.g., Resolver Core), web-based applications (e.g., MS Office Suite), and visualization tools (e.g., Power BI)

While we thank everyone for their interest in Haventree Bank, please note that only candidates selected for an interview will be contacted. Haventree Bank is committed to providing accommodation when needed. If you require an accommodation, we will work with you to meet your needs.

  • As a job candidate, our recruitment process includes collecting personal information. Please click the link here to review our Privacy Policy. Privacy Statement | Haventree Bank
  • Haventree Bank embraces equal opportunity, diversity, and inclusion. Please let us know if you require any accommodations during the recruitment and selection process.
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