Compliance Officer

7 months ago

Mississauga, Canada Embark Full time

**Job Profile**:
Compliance Officer

**Compliance Officer**

Full-time

Reporting into Manager, Central Compliance

At Embark Student Corp. (“Embark”) we’re on a journey to create an entirely new student experience. One that is built on instilling confidence in students around the paths they are choosing and their ability and agency to achieve their goals for the future. As enablers and orchestrators of students’ success, we will create access, affordability and agency for students and their champions across our services and solutions. This will provide them with guidance and support in all aspects of planning and saving for post secondary education - giving them a future-ready advantage and help them thrive well past their educational journey.

**What makes us qualified to do this?**

In business since 1965 and owned and operated by a not-for-profit organization, everything we do is in service to our students. We are a diverse and passionate community of experts that firmly believes in the benefits of education, priding ourselves on helping to shape their future and empowering them to reach their full potential.

As we move forward, we will leverage and build upon our unmatched expertise in the RESP space to propel both our students and our company forward, ensuring a better tomorrow. Our vision is set, our future is bright, and we’re just getting started.

**Mandate**
- The primary responsibility of the Compliance Officer (CO) is to oversee the activities of Embark’s licensed individuals, ensuring Embark’s regulatory and supervisory policies and procedures are followed, while supporting the sales and business development objectives of the organization. The necessary duties for the CO to fulfill these responsibilities are as follows:
**_ CHALLENGES TO BE MET_**
- Oversee the registerable activities of licensed individuals

Report any identified instances of non-compliant behavior directly to the Manager, Central Compliance and perform any follow up investigatory procedures as directed
- For any Licensed Individuals under enhanced supervision ensure additional supervisory procedures are being followed and report any exceptions to the Manager, Central Compliance
- Participate in monthly, quarterly and annual reporting to monitor Compliance KRIs
- Collaborating with business units to build and maintain compliance controls
- Under the supervision of Manager, Central Compliance conducting second line testing on compliance controls.
- Assisting in the preparation of materials, process walkthrough during regulatory exams and internal audits
- Providing support to the Manager, Central Compliance for reporting to Senior Leadership
- Continually assesses current processes and recommending appropriate enhancements to improve or adapt to changing business or regulatory requirements
- Maintain effective relationships with other Embark divisions and departments, including Sales, Learning & Development and Marketing, working together towards achieving the overall strategic objectives for the company.
- Conduct risk assessments on licensed individuals and working with Supervisors to develop and implement action plans to address risk concerns
- Respond to assigned customer complaints:

- 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 Manager, Central Compliance for review and approval.

**WHO WE ARE LOOKING FOR**
- Have 2+ years of experience with an IIROC member firm or equivalent Financial Institution
- Post-secondary degree or diploma in Business, Economics or similar discipline
- Successful completion of RESPDAC Sales Representative Proficiency and Branch Manager courses
- Successful completion of one or more of the following _additional_ _courses would be an asset:

- Branch Managers Course (MFDA or CSI)
- Branch Compliance Officers Course (CSI)
- Canadian Securities Course (CSI)
- Partners, Directors & Senior Officers Course (CSI)
- Conduct & Practices Handbook Course (CSI)
- Conduct and Practice Handbook Course (CPH)
- Independent worker, managing and executing assigned tasks responsibly and without direct day to day supervision
- Desire to work in a team environment, in multiple different capacities
- Are capable of handling multiple tasks and meeting stringent deadlines in a dynamic and fast paced environment.
- Good planning and organizational skills with attention to detail
- Critical thinking, able to identify and provide recommendations to resolving compliance questions and improving business practices in a timely and effective manner
- Have high proficiency in Microsoft Office (Word, Excel, PowerP

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