Compliance Analyst/Officer

Found in: Talent CA 2 C2 - 1 week ago

Toronto, Canada CB Canada Full time

Compliance Analyst/Officer

On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer.

Compliance Analyst/Officer – Job Description

  • The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework

  • This includes ensuring that businesses are aware of the legislation under which they are governed, and providing advice and support as required

  • The team is also accountable for promoting regulatory compliance by developing and maintaining compliance programs, including relevant training, carrying out independent monitoring and oversight activities and meeting reporting requirements

  • Reporting to the Senior Manager, Canadian Banking Compliance, the Senior Compliance Officer (SCO) will be a member of the Canadian Banking Compliance (CBC) team, and will: a) provide guidance, oversight and expertise to Canadian Banking businesses on regulatory requirements and controls, and assist the businesses in managing their regulatory compliance and conduct risk; and b) provide ongoing oversight and maintenance of our internal Compliance program

  • Support of Canadian Banking businesses

  • The successful candidate will act as a subject matter expert and provide ongoing advice and support on regulatory compliance and conduct risk matters, including consumer protection (under the federal Bank Act or provincial consumer protection legislation), CDIC, Privacy (including PIPEDA and CASL), Conduct Risk, and OSFI Guidelines

  • This subject matter expertise is leveraged to execute our Compliance oversight program, elements of which include:

  • Regulatory Change Management: Provide input on proposed changes to regulatory requirements or guidelines and serve as subject matter expert as those changes are implemented across the bank

  • Assess emerging regulatory or industry risks and recommend policy and/or action to the business

  • Maintain Inventory of Requirements: Maintain inventories of the regulatory requirements applicable to the business, assess the risks of each requirement, and work with business partners to map corresponding controls to mitigate those risks

  • Preventive Guidance: review new products and processes; participate in business-initiated projects and provide advice on regulatory requirements

  • Provide guidance to the business in establishing day to day regulatory compliance controls

  • Support the implementation and sustainably of an effective first line oversight program within the business

  • Detective Activities: Detect and mitigate violations of regulatory or internal policy requirements

  • Independently monitor and assess effectiveness of business regulatory compliance controls

  • Support regulatory Compliance Department testing and monitoring programs

  • Issue Management: Provide guidance throughout the life cycle of an issue, from detection to resolution

  • Review business action plans for effectiveness and timely implementation

  • Report on existing and emerging regulatory compliance issues and risks to Compliance senior management, business senior management, and regulators as required

  • Regulatory Engagement Assist with responding to regulatory examinations and investigations, completing required filings and reporting to regulators

  • Risk Assessment: Assess the overall state the business' Compliance with regulatory requirements, including the effectiveness of its own Regulatory Compliance Management (RCM) program

  • Reporting: Report identified or emerging risks to senior management within Compliance, the business, applicable Boards, and regulators as required

  • Support of internal Compliance program

  • The successful candidate will also oversee the internal CBC program, which includes oversight and development of policies, job aids, training and strategic initiatives, and represent CBC on pan-Compliance initiatives

Compliance Analyst/Officer – Mandatory Skills

  • Understand regulatory requirements and apply that knowledge to business-specific scenarios - 1-3 years' experience

  • Experience related to regulatory compliance, legal, or risk management - 1 to 3 years

  • Communication skills

  • Ability to liaise with a number of internal stakeholders, including executives, to prepare reports

  • Strong critical thinking, organizational and problem-solving skills; time management

  • Strong interpersonal skills with the ability to interact at all levels of the Bank with superior organizational awareness

  • Ability to provide thought leadership in supporting positive work environments

Compliance Analyst/Officer - Nice to Have Skills

  • Knowledge of Canadian Banking products, policies & processes are preferred

Compliance Analyst/Officer - Assignment Start Date

ASAP – 18 months to start

Compliance Analyst/Officer - Assignment Location

Toronto, ON – Work Hybrid

  • Compliance Analyst

    2 days ago

    Toronto, Canada Morningstar Full time

    To support its Global Compliance Program, DBRS is seeking a Compliance Analyst in its Toronto Office. The Compliance Analyst is an integral part of the Compliance Program that addresses how the firm manages conflicts of interest. This role will be part of the Global Conflicts of Interest team - with global head based in London and other team members based in...

  • Compliance - Analyst

    7 days ago

    Toronto, Canada MUFG Full time

    Compliance - Analyst **Job Summary**: The primary responsibility is to assist the Chief Compliance Officer in the activities of compliance and anti-money laundering. **Primary Accountabilities**: **KYC**: - Conduct screening on Customers and related parties. - Be responsible for implementing KYC procedure - Prepares and monitors KYC review schedule based...

  • National Compliance Analyst

    5 days ago

    Toronto, Canada First General Services Full time

    **COMPLIANCE ANALYST** **Company Background** Established in 1983, First General has been the lead choice for property damage restoration services of property owners, insurance companies, policy holders and property managers during times of crisis. Our services include, water damage restoration, structural drying, fire & smoke damage restoration, wind...

  • Compliance Analyst

    Found in: Talent CA C2 - 1 week ago

    Toronto, Canada fasken Full time

    Who We Are Fasken is a leading international business law and litigation firm, and was recently voted one of Canada’s Best Employers for 2023. Our firm’s 950 lawyers are located across offices in Vancouver, Surrey, Calgary, Toronto, Ottawa, Montréal, Québec City, London and Johannesburg And an office in the professional and retail district known as...

  • Lead IT Compliance Analyst

    Found in: Talent CA C2 - 1 week ago

    Toronto, Canada Morningstar Full time

    The Area : The Information Security department is responsible for setting enterprise security policies and standards that are designed to protect the confidentiality, integrity and availability of Morningstar information. The security team offers guidance and technical expertise in areas like application security, policies and procedures, disaster recovery...

  • Compliance Kyc Analyst

    2 days ago

    Toronto, Canada Corpay Full time

    What We Need Corpay is currently looking to hire a Compliance KYC Analyst within our Legal Compliance division. This position falls under our Corpay Cross Border line of business and is located in Toronto ON. You will report directly to the Compliance Director and regularly collaborate with the Credit, Sales & Financial Investigation Unit teams. How We...

  • Analyst, Compliance

    Found in: Talent CA C2 - 1 week ago

    Toronto, Canada First National Full time

    We are hiring an Analyst, Compliance! The Role: This position will play an important role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high quality, professional, and independent compliance testing. The incumbent will contribute to a strong compliance and risk management culture through...

  • Compliance Analyst II

    Found in: beBee jobs CA - 1 week ago

    Toronto, Ontario, Canada FIS Global Full time

    Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10%Are you curious, motivated, and forward-thinking? At FIS you'll have the opportunity to work on some of the most challenging and relevant issues in financial services and technology. Our talented people...

  • Compliance Analyst II

    Found in: beBee S CA - 2 weeks ago

    Toronto, Canada FIS Global Full time

    Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10%Are you curious, motivated, and forward-thinking? At FIS you’ll have the opportunity to work on some of the most challenging and relevant issues in financial services and technology. Our talented...

  • Compliance Analyst, Trade Supervision

    Found in: Talent CA C2 - 1 week ago

    Toronto, Canada Sun Life Full time

    Job Description : Wealth Management Canada Compliance is looking for a Tier 2 Bilingual Compliance analyst to join their dynamic team, reporting to the Director, Filed Supervision. The incumbent will be the Tier 2 analyst for Sun Life’s new investment dealer, Sun Life Canada Securities Inc. (SLCSI) and Sun life Financial Investment Services (Canada)...

  • Supplier Compliance Analyst

    3 days ago

    Toronto, Canada Yamaha Motor Canada Full time

    **Summary of Responsibilities** This role would be the main source of contact regarding Substances of Concern, Green Procurement, and Compliance for suppliers of parts and accessories. This position will also include the coordination with YMUS, YME and YMC divisions and other Yamaha subsidiaries for the same items. **Key Duties & Responsibilities** -...

  • Compliance Business Administration Analyst

    3 days ago

    Toronto, Canada Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • Compliance Officer

    5 hours ago

    Toronto, Canada Swiss RE Full time

    **About** **the** **Role**: We are looking for a highly motivated individual to be the Compliance Officer for Swiss Re Corporate Solutions America Insurance Corporation (SRCSAIC), Canadian branch based in Toronto. In this position, you will be the appointed Compliance Officer for the purposes of Regulatory Compliance Management Guideline E-13 (Office of the...

  • Compliance analyst, Trade surveillance

    Found in: Jooble CA O C2 - 1 week ago

    Toronto, ON, Canada Nexus Systems Group Inc. Full time

    Trade Surveillance Analyst x 2 Typical Day in Role: The Trade Surveillance Analyst will report into the Senior Manager, OTC Trade Surveillance and collaborate with various internal stakeholders to support processes within the Trade Surveillance program. Candidate should possess a combination of in-depth knowledge of Capital Markets, OTC Products, trade...

  • Compliance Officer

    2 days ago

    Toronto, Canada Aviso Wealth Full time

    **Aviso Wealth**: **The Opportunity**: We’re looking for a Compliance Officer to join our Compliance team. This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON. Reporting to the Manager, Branch Examination, the Branch Examiner is responsible for conducting onsite and/or remote...

  • Compliance Officer, Corporate Compliance

    5 hours ago

    Toronto, Canada Aviso Wealth Full time

    **Aviso Wealth**: **The Opportunity**: We’re looking for a Compliance Officer to join our Compliance team. This can be a remote role, however for those who would like to come into the office we are at 151 Yonge St, Toronto, ON. Reporting to the Director Corporate Compliance, the Compliance Officer is primarily responsible for day-to-day compliance...

  • Regulatory Compliance Quality Assurance Analyst

    7 days ago

    Old Toronto, Canada DUCA Full time

    Why DUCA? At DUCA, we strive for excellence in everything we do. Our commitment to Do more, Be more, Achieve more is what sets us apart and drives our company culture. DUCA’s impact goes beyond our financial solutions - we're dedicated to making a real difference in the lives of our members and in our community. We believe our employees are our most...

  • Regulatory Compliance Quality Assurance Analyst

    1 week ago

    Old Toronto, Canada DUCA Full time

    Why DUCA? At DUCA, we strive for excellence in everything we do. Our commitment to Do more, Be more, Achieve more is what sets us apart and drives our company culture. DUCA’s impact goes beyond our financial solutions - we're dedicated to making a real difference in the lives of our members and in our community. We believe our employees are our most...

  • Regulatory Compliance Quality Assurance Analyst

    2 weeks ago

    Old Toronto, Canada DUCA Full time

    Why DUCA? At DUCA, we strive for excellence in everything we do. Our commitment to Do more, Be more, Achieve more is what sets us apart and drives our company culture. DUCA’s impact goes beyond our financial solutions - we're dedicated to making a real difference in the lives of our members and in our community. We believe our employees are our most...

  • Regulatory Compliance Quality Assurance Analyst

    Found in: Jooble CA O C2 - 1 week ago

    Toronto, ON, Canada DUCA Full time

    Why DUCA? At DUCA, we strive for excellence in everything we do. Our commitment to Do more, Be more, Achieve more is what sets us apart and drives our company culture. DUCA’s impact goes beyond our financial solutions - we're dedicated to making a real difference in the lives of our members and in our community. We believe our employees are our...