Analyst, Compliance

1 month ago

Victoria, Canada BCI Full time

Closing Date: March 7, 2023

DEPARTMENT DESCRIPTION

The Legal Affairs department provides legal guidance to the Board, management, and all departments within BCI. They provide legal advice and support for transactional, investment and operational activities, advise on contractual, legal and regulatory requirements and issues, and manage corporate entities and records.

The Compliance Office fosters a culture of prudent risk management and compliance that assists BCI in carrying out its asset management goals with integrity and in accordance with its regulatory, legal and ethical responsibilities. The team implements compliance risk mitigation measures, provides compliance awareness and training to the corporation, conducts compliance monitoring and testing, and submits periodic reports to BCI’s Board of Directors on the performance of its compliance program.

POSITION DESCRIPTION

Reporting to the Manager/Senior Manager, Compliance, the Analyst, Compliance is responsible for process development, testing and monitoring, training, ensuring processes and controls are well documented, and compliance systems and frameworks are effective and efficient. The role requires executing on a corporate/investment compliance program and requires a motivated individual with working knowledge of regulations and compliance best practices.

The role requires a motivated, results-focused self-starter with a continuous improvement mindset.

QUALIFICATIONS

Must have:
- A university degree in Business, Finance, Law or another related field- Two years of experience in compliance, risk management, audit or related experience- Understanding of compliance and risk management principles, methodologies and practices- Experience with conducting compliance reviews such as monitoring investment compliance or code of conduct requirements- Ability to analyze compliance scenarios and provide input on solutions- Strong financial and business acumen- Excellent written and verbal communication skills- Excellent organizational skills and attention to detail- Strong personal integrity in dealing with confidential and sensitive information- Ability to understand laws and regulations- Strong interpersonal and relationship management skills

Preferred:
- Experience in the financial services or asset management industry- Successful completion of the Canadian Securities Course, or commitment to complete upon hire- Exposure to privacy, AML, sanctions, Code of Conduct, trading and investment compliance- Working knowledge of Compliance systems such as Dow Jones, Star Compliance and Bloomberg AIM- Familiar with financial industry regulations and marketplace rules

PRIMARY RESPONSIBILITIES- Monitors, researches and analyzes a wide range of data to ensure corporate/investment compliance objectives are met- Performs monitoring activities daily, weekly, and quarterly to ensure compliance with internal policies, investment guidelines and applicable regulations- With guidance, provides advice and guidance to employees on Compliance matters and related policies and procedures- Maintains and monitors the effectiveness of compliance rules in the Order Management System/Corporate Compliance System- With guidance, liaises with individuals in other business units to research and resolve compliance-related issues- Documents compliance reviews and remedial actions taken- Prepares periodic compliance reports- Responds to compliance-related inquiries- Files routine regulatory reports with applicable regulatory bodies- Assists with non-routine regulatory filings- Assists with the development and maintenance of policies, procedures and work instructions for the Compliance Office- Assists with assessing the efficiency of compliance monitoring activities and optimizes systems and processes when warranted- Completes special projects as required- Promotes an environment that reinforces the highest standards of ethics and integrity- Develops and delivers training on the Code and supporting programs

THE TEAM:
Our Legal Affairs department provides legal services, fosters regulatory and policy compliance, and helps manage enterprise risk. More specifically, they support BCI in pursuing its business goals by:
- providing contract negotiations and legal support for transactional, investment and operational activities;- providing governance and operational support to the Board;- providing procurement services for the purchase of goods and services; and- providing guidance and monitoring to comply with regulatory, investment market and internal policy requirements.

WHY WORK AT BCI?

BCI is one of Canada’s Top 100 Employers and has built programs and benefits to support our employees. As an employee of BCI you will have access to benefits such as:
- Extended health and dental coverage- 20 days’ vacation per year- Participation in our defined benefit pension plan- Paid volunteer days

BCI has previously enacted a mandatory COVID-19 vaccination policy to safeguard the wellbeing

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