Regulatory Compliance Quality Assurance Analyst

7 months ago

Toronto, Canada DUCA Financial Services Credit Union Ltd. 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.

**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.
- 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**

**Prim

  • Regulatory Compliance and Quality Assurance Expert

    4 weeks ago

    Old Toronto, Canada Knix Full time

    Knix, a leading intimate apparel and activewear brand, is seeking a highly skilled Regulatory Compliance and Quality Assurance Expert to join its team.We are revolutionizing the apparel industry with our innovative products, best-in-class customer experience, and engaged community. Our mission is to empower people everywhere to be unapologetically free.The...

  • Director of Regulatory Compliance and Quality Assurance Leader

    2 days ago

    Old Toronto, Canada Knix Full time

    Knix is an award-winning intimate apparel and activewear brand that's revolutionizing the industry with innovative products and a customer-centric approach. As a purpose-driven company, we're committed to empowering people everywhere to be unapologetically free.We're seeking a seasoned Director of Regulatory Compliance and Quality Assurance Leader to join...

  • Senior Regulatory Compliance and Quality Assurance Executive

    1 month ago

    Old Toronto, Canada Knix Full time

    About Knix:Knix is a leading intimate apparel and activewear brand that is revolutionizing the industry with its innovative products and best-in-class customer experience. With a strong focus on empowering people everywhere to be unapologetically free, Knix has established itself as a globally recognized innovator within the apparel space.The company reaches...

  • Director, Regulatory Compliance and Quality

    4 months ago

    Toronto, Canada Knix Full time

    Knix is an award-winning intimate apparel and activewear brand that is re-inventing intimates for real life. Through our innovative products and our engaged community, we are empowering people everywhere to be unapologetically free. Launched in 2013, we are one of the fastest-growing intimate apparel brands in North America and are globally recognized as an...

  • Quality Assurance

    15 hours ago

    Toronto, Canada The Home Depot Canada Full time

    **Position Purpose** The Quality Assurance & Compliance Specialist will work with the Sr. Manager of Quality & Product Engineering in both identifying and addressing product safety issues. They will ensure all product meets both Home Depot Canada and applicable regulatory requirements. This individual will collaborate with cross-function team members in...

  • Quality Assurance and Control Analyst

    1 week ago

    Toronto, Canada DUCA Financial Services Credit Union Ltd. Full time

    **Quality Assurance and Control Analyst** **Job Purpose & Summary** The Quality Assurance and Control Analyst supports the Retail Credit Management Team. This position is responsible for analyzing Retail Lending files to ensure compliance to the underwriting and documentation standards as per DUCA Financial Services Credit Union’s policies and...

  • Director, Quality Assurance and Regulatory Affairs

    4 months ago

    Old Toronto, Canada Knix Full time

    p>Knix is an award-winning intimate apparel and activewear brand that is re-inventing intimates for real life. Through our innovative products and our engaged community, we are empowering people everywhere to be unapologetically free. Launched in 2013, we are one of the fastest-growing intimate apparel brands in North America and are globally recognized as...

  • Quality and Regulatory Compliance Officer

    6 months ago

    Toronto, Canada Sinai Health Full time

    Sinai Health is a leading academic health science centre and a trailblazer for integrated care across the health continuum. Our fusion of science, innovation, care and learning has earned us international, national and provincial leadership for unique programs and compassionate care. Since 2015, Sinai Health has delivered excellent care in hospital,...

  • Specialist, Quality Assurance and Regulatory

    7 months ago

    Toronto, Canada Advantage Solutions Full time

    Summary: Quality Assurance (QA) & Regulatory Affairs (RA) Specialist The Quality Assurance (QA) & Regulatory Affairs (RA) Specialist is responsible for several aspects of Quality Assurance and Regulatory Affairs as it relates to Drugs, Natural Health Products, Cosmetics and Medical Devices that are imported and/or distributed by Advantage Solutions...

  • Manager, Regulatory Reporting

    7 months ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 172840 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Manager, Regulatory Reporting (Quality Assurance & Governance), Global Finance contributes to the overall success of Global Finance’s Regulatory Reporting team by ensuring all activities conducted are compliant with governing...

  • Credit Quality Assurance and Control Analyst

    1 week ago

    Toronto, Canada DUCA Financial Services Credit Union Ltd. Full time

    **Credit Quality Assurance and Control Analyst** **Job Purpose & Summary** The Credit Quality Assurance and Control Analyst supports the Retail Credit Management Team. This position is responsible for analyzing Retail Lending files to ensure compliance to the underwriting and documentation standards as per DUCA Financial Services Credit Union’s policies...

  • Compliance Analyst

    4 months ago

    Toronto, Canada Canada Life Assurance Company Full time

    Compliance Analyst **Description: - Permanent Full Time- The Compliance Analyst is accountable for collection and reporting duties associated with the ITSM processes. The Compliance Analyst works closely with the process managers and process owners to ensure that timely, clear, and concise data is provided for each process. Canada Life’s control set...

  • Manager, Compliance Quality Assurance

    4 months ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 207813 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Senior Manager, Compliance Quality Assurance, the Compliance QAR Manager will be responsible for carrying out quality assurance review activities in order to assess the design and operating effectiveness of our...

  • Regulatory Compliance Governance Expert

    2 days ago

    Toronto, Ontario, Canada TD Bank Full time

    Job Title: Regulatory Compliance Governance ExpertAbout TD Bank:We are one of the world's leading global financial institutions and the fifth largest bank in North America by branches/stores. Our goal is to deliver legendary customer experiences to over 27 million households and businesses across Canada, the US, and around the world.Salary: $94,500 -...

  • Quality Assurance Analyst

    4 weeks ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 211171 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. The Quality Assurance Analyst scrutinizes and evaluates FINTRAC regulatory reports with focus on quality assurance and timeliness of reporting, specifically Large Cash Transaction Report (LCTR) and Electronic Funds Transfer Report...

  • Manager, Compliance Quality Assurance

    2 weeks ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 164687 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Compliance Quality Assurance, the QAR Manager will be responsible for carrying out quality assurance review activities in order to assess the design and operating effectiveness of our internal Compliance...

  • Risk and Compliance Analyst

    3 weeks ago

    Toronto, Canada Yamaha Motor Full time

    **Summary of Responsibilities** Yamaha Motor Finance Canada (YMFCA) is the captive finance division of Yamaha Motor Canada, which is focused on providing financial solutions to Yamaha dealers and customers through its Retail and Wholesale finance programs as well as Warranty and insurance offerings. The Risk and Compliance Analyst is a newly created role...

  • Analyst - Legal and regulatory compliance,

    4 days ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for 2 Professional Exception, Governance and Compliance -Analyst– Regulatory Client Outreach Candidates to work at one of Canada's Largest Banks. Oversee the end-to-end client lifecycle process, ensuring efficient onboarding and data management. Collect and validate client data through research and collaboration with Front...

  • Quality Assurance

    7 days ago

    Toronto, Canada Hanson Canada Full time

    **About Hanson College** Hanson College, established in 2001, is a private educational institution that delivers college diploma programs and language training programs to international students. Our three campuses are located in Toronto and Brampton in Ontario, and New Westminster in BC. Join Hanson to change life trajectories through education for...

  • Regulatory Compliance Specialist

    2 days ago

    Toronto, Ontario, Canada Transarete Full time

    Job Title: Regulatory Compliance SpecialistAbout the Company:Resolute Workforce Solutions is a leading provider of workforce solutions, dedicated to helping organizations achieve their goals through successful project delivery and effective management of change. Our expertise spans Commissioning & Qualification, Validation, Quality Systems, Regulatory...