Compliance Officer
1 week ago
Application Deadline: 7 June 2024
Department: Compliance
Employment Type: Full Time
Location: Head Office
Reporting To: Sarah Lyon
Description
- Support Central Compliance and IFM Compliance management.
- Assist with the development, monitoring and reporting of Key Risk Indicators and Key Performance Indicators Measures
- Identify opportunities in the field to create training moments.
- Manage complaint handling process and reporting
- Respond to assigned customer complaints through the following activities: Research and compile information to investigate and analyze assigned complaints, gathering required data and information and speaking to customers, Licensed Individuals and Compliance staff to assess and examine information relating to the complaint or alleged violation; Prepare a draft substantive response to the customer on each complaint, summarizing the complaint, the analysis performed and the recommendation for resolution and present to the Senior Manager, Central Compliance for review and approval
- Review of proposed marketing initiatives for adherence to regulatory and Compliance policies.
- Review and propose improvements to the various Compliance Services policies and standard operating procedures in an effort to ensure they are clear, transparent and end user friendly.
- Execute and track Compliance business metrics for regulatory or governance reporting purposes.
- Act collaboratively with other business units to render a compliance service that supports the development of good quality business practices, and which protects and enhances the Embark Student Corp. brand.
- Perform ad-hoc and planned topic targeted reviewed to monitor and test Embark's adherence to regulatory requirements. This may include topics such as: Outside Business Activities disclosures, Referral Arrangement disclosures, Meaningful disclosures of Plan Opening acknowledgements, Adherence to KYC update requirements, Adherence to Marketing Policies, Procedures and Holding Out expectations, Registrant specific reviews
- Team Work: Work collaboratively with all Compliance Services peers and assist in the execution of their mandates were needed. Such may include assisting with trade reviews or plan consultation reviews.
- One to three years of experience working within Embark as and employee or independent contractor and/or three to five years working in a financial compliance discipline
- Successful completion of or registered to complete the Canadian Investment Funds Course
- At least one year experience of investigating and formally responding to customer complaints
- Successful completion of the RESPDAC Sales Representative Proficiency and Branch Manager courses
- Possess superior written and verbal communication skills, with a proven ability to express yourself clearly and give your full attention to customer needs
- Well-organized and detail-oriented, with the solid record-keeping skills needed to work with our internal systems and processes
- Strong analytical skills and an eye for detail
- Proficient with Microsoft Office 365
- Excellent organizational and time management skills
- Thrives in multi-tasking in a fast-paced environment
- Desire to work in a team environment, in multiple capacities
- Flexible availability to meet the needs of the business
- Ability to demonstrate the following skills: Industry awareness, Numerical skills, Planning and organizational skills, Understand broader business issues, Communication and presentation skills
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