Regulatory Compliance Quality Assurance Analyst

6 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 valuable resource We are committed to providing you with the tools, support, and challenge you need to develop your career and achieve a healthy work-life balance while contributing to our outstanding culture. DUCA offers a strong total compensation package including competitive salaries and bonuses, employer-paid benefits, banking perks, wellness days, and much more.

Apply today and see what DUCA can do for you

Regulatory Compliance Quality Assurance Analyst

Job Purpose & Summary

The Quality Assurance (QA) program is a second-line function responsible for performing independent testing and monitoring activities of the regulatory compliance program to ensure DUCA Credit Union Financial Services Ltd. (DUCA) is compliant with applicable regulatory requirements (FATCA, CRS, Market Code of Conduct, Credit Union Act, AML, CASL, Privacy, etc.) on an enterprise-wide basis, including any subsidiaries. The Regulatory Compliance Quality Assurance Analyst (QA Analyst) executes consistent risk-based and cost-effective QA reviews to enhance the efficacy of Regulatory Compliance programs, assist with regulatory reporting practices and controls, as well as mitigate any deficiencies identified. This will include quality control checks and monitoring and control effectiveness testing of DUCA’s Regulatory Compliance programs, including but not limited to: AML, FATCA/CRS, Privacy, CASL, Whistleblower and Market Conduct Code.

Key Accountabilities & Duties

  • Develop quality control and assurance policies, programs, templates, and procedures, including sampling methodology and annual QA plan.
  • Conduct regular QA reviews across all aspects of the Regulatory Compliance programs and issue clear and concise documentation of QA activities performed and drafting reports outlining the results of those activities.
  • Identify areas of risk and make recommendations on operational improvements, processes for compliance, quality assurance, and additional training essential to mitigate risk.
  • Assist in developing, implementing, and maintaining the Monitoring and Testing Program as well as the oversight processes to support the Regulatory Compliance program and reporting.
  • Conduct regular quality control checks to validate the effectiveness of the AML system and other regulatory compliance related systems/reports.
  • Ensure that findings raised within the Issue Management Framework are completed in a timely manner.
  • Assist with the implementation and maintenance of DUCA’s organizational regulatory compliance risk management software i.e. Resolver system.
  • Apply regulatory rules, policies, and sound judgement to respond to quality control and assurance related inquiries from business units and validate adherence to applicable regulatory requirements and internal policies through re-testing.
  • Remain current and knowledgeable of the governing legislations and regulatory requirements applicable to DUCA, as well as training and audit approaches.

Occupational Experience & Education Requirements

  • Undergraduate degree or equivalent.
  • Knowledge of relevant policies and best practices related to AML, FATCA/CRS, Privacy and CASL.
  • Professional certification(s) (i.e. CAMS, CIPP), an asset.
  • 3-4 years experience in a compliance, audit, risk, or governance role, in a financial services organization.

Knowledge, Skills & Attributes

  • Experience and knowledge of compliance monitoring and testing methodologies for adherence to applicable regulatory requirements and internal policies.
  • Proficient in MS Office products, specifically Excel, Word, and PowerPoint.
  • High level of integrity with the ability to deal with confidential and sensitive Member and employee information with a high degree of professionalism.
  • Strong research and analytical skills to monitor and analyze regulatory requirements and relate them to business processes, regulatory risks, and compliance controls and to support a broad range of projects.
  • Ability to make decisions independently using sound judgment, work well under pressure and shifting priorities while meeting multiple or conflicting deadlines.
  • Meticulous attention to detail and very strong organizational and prioritization skills
  • Ability to interpret and operationalize regulatory requirements.
  • Excellent verbal and written communication skills with strong interpersonal skills to successfully interact, encourage, and influence at all organizational levels, including senior leadership teams.
  • Strong execution skills with attention to detail and focus on clear, realistic action steps and
  • Ability to handle multiple initiatives and prioritize work to meet deadlines and fulfill the demands of a rapidly changing environment.

Working Environment

Normal office environment. Potential for extended hours given certain demands of the job and key deliverables and deadlines.

Department: Compliance

Primary Location: Corporate Office

Employment Status: Full-time

Hours per Week: 38

DUCA is committed to employment equity and encourages applications from all qualified candidates. Recruitment related accommodations will be provided upon request.

Qualified applicants are encouraged to submit their application.Applications must include a resume.

We thank all applicants but only those considered for an interview will be contacted.

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