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Compliance Officer

3 months ago

Toronto, Ontario, Canada Alterna Full time

Scope of Position

The Compliance Officer role will support the Regulatory Compliance Management framework. They are considered a subject matter expert on the regulatory controls. The key activities include analyzing and assessing risks related to regulations according to compliance policy and procedures, execute the ongoing monitoring and control testing plan and auditing/testing and reporting on the effectiveness of compliance controls throughout the organization.

Major Responsibilities

  • Keep up to date regarding changes as relates to: Privacy Acts, Bank Act and consumer protection regulations, CU Act, Market Code, AODA, OSFI, FATCA, OECD Common Reporting Standard, NDNC, CDIC, CASL and more.
  • Support the Regulatory Compliance Management framework
  • Execute the risk based ongoing monitoring and control testing plan
  • Analyze and assess risks related to regulations according to compliance policy and procedures.
  • Audit/test and report effectiveness of compliance controls throughout the organization
  • Provide daily support to Alterna to maintain and enhance the effectiveness of compliance
  • Stay abreast of incoming regulations, techniques, strategies and knowledge
  • Work closely with the Compliance manager to maintain, update, improve policies and procedures for the compliance program
  • Maintain organized and effective logs and reports of all activity for review and audits.
  • Test/Risk assess effectiveness of compliance and risk controls
  • Maintain log of controls
  • Assist manager of compliance with test plan development
  • Execute testing plan using a risk-based approach
  • Perform tests
  • Report results
  • Tests are run on weekly/monthly/quarterly cycle
  • Support team leaders, branch managers, and ASK centre on compliance issues
    • Execute the risk based ongoing monitoring strategy
  • Complete documented comprehensive member/customer/product/business process analysis
  • Report review
  • Documentation review/update
  • Process review
  • Detailed sample review
  • Interview
  • Complete report
  • The compliance officer will be relied upon to contribute to decisions on process development and improvement internally and as they relate to regulatory compliance controls throughout the organization and provide assurance of the final process's compliance to regulatory compliance guidelines.
  • Maintain organized electronic record keeping system

Qualifications

Education / Certifications / Experience

  • Post-Secondary education in a related field (business, banking, law, economics, psychology, behavioural science)
  • 5 years of related experience
  • Knowledge or Completion of banking/investment industry courses an asset.
  • Knowledge or Completion of Audit related courses/certifications an asset
  • Knowledge or Completion of Risk management related courses/certifications an asset
  • Knowledge or Completion of Business Analysis/Project Management courses/certifications an asset

Knowledge / Skills

  • Strong Excel report development skills
  • General working knowledge and understanding of all regulations affecting the Credit Union and Bank.
  • Good Knowledge in Privacy and Consumer Protection
  • Internal Audit

About Alterna Savings

Alterna Savings and Credit Union Limited (Alterna) has been the Good in BankingTM for over 115 years creating financial services that transform lives for the better, all while giving back to our community. Alterna is made up of Alterna Savings and Credit Union Limited and its wholly owned subsidiary, Alterna Bank.

As the first full-service, member-owned cooperative financial institution outside Quebec, Alterna Savings shares its expertise with over 210,000 members through a network of over 40 branches across Ontario, as well as call centre and digital channels. Members and customers also benefit from an industry-leading online brokerage and investment management services.

Working at Alterna

We are incredibly proud of our corporate culture of Integrity, Respect and Collaboration, where everyone works together towards a common goal; the financial wellbeing of our employees, members and customers. This commitment has earned us several prestigious employer awards, including the National Capital Region's Top Employers award for eight years running.

Although we appreciate all applicants, preference will be given to candidates who most closely meet the qualifications, key skills, and competencies outlined above.

Alterna is compliant with the Ontarians with Disabilities Act. If you have a disability, please contact our Recruitment Team and let us know how we can accommodate you.