Compliance Analyst

2 months ago

Toronto, Canada RFA Bank of Canada, RFA Mortgages Corp. Full time

RFA’s residential mortgage lending business is operated by RFA Mortgage Corporation and RFA Bank of Canada, a federally regulated Schedule I Bank. RFA Mortgage Corporation specializes in Prime lending (Insured, Insurable, Uninsurable), while RFA Bank of Canada is a balance sheet based Alternative mortgage lender (Alt-A and B lending). Combined, RFA offers mortgage brokers a one-stop shop with our full suite of competitive Prime and Alternative mortgages.

RFA’s strategic vision is to be a long-term leader in the residential lending segment by offering a value proposition beyond just rate and compensation. Through building a competitive broker experience and solutions-oriented product suite, RFA’s goal is to be recognized and recommended by our mortgage broker partners, mortgagors, and other strategic partners, for our financing solutions and broker/client experience.

The Opportunity

We are looking for a compliance analyst to join our team based in Toronto. The core objective is to aid the Bank in mitigating regulatory risk through participation in and execution of Compliance Function processes that comprise the RCM.

Risk Identification and Assessment
- Maintain the Bank’s inventory of regulatory requirements ensuring its completeness and integrity, including working with and guiding operational management regarding their related responsibilities
- Assist with applicability assessments
- Perform and/or review inherent and residual risk assessments and operational control design assessments as they relate to regulatory risk
- Assist in execution of regulatory change management including the identification, assessment, communication, and implementation of new or changed processes resulting from regulatory changes impacting the Bank and/or new or changed business processes
- Maintain awareness and knowledge of regulatory compliance requirements, developments, and industry best practices through review of publications, participation in industry associations, employee development initiatives, etc.

Monitoring & Testing
- Assist with design and execution of Compliance Function monitoring processes
- Design programs for the testing of compliance controls
- Perform testing and monitoring as assigned, ensuring quality documentation to support testing conclusions and proactive communications with Management to build partnerships and to achieve high quality action plans to address identified gaps
- Identify control weaknesses and violations (actual, potential and perceived) of regulations, rules, laws, internal policies and procedures through testing and monitoring
- Track, monitor, assist management with and validate action plans for findings raised by the Compliance Function, regulators, external parties or self-identified by Management
- Assist in executing actions to address findings raised by Internal Audit, regulators or other external parties related to Compliance Function processes.

Reporting
- Perform reporting as driven by Compliance Function processes

Additional Responsibilities
- Assist the Risk Management by completing tasks as assigned
- Participate in special projects and initiatives as requested
- Assist in identifying efficiencies and areas for improvement within the existing compliance program
- Assist in the development and implementation of improvements within the Compliance Function and business line compliance policies and procedures
- Assist in the development and delivery of compliance training to business line staff

**What you can bring to RFA**:

- Experience with Bank regulatory requirements
- Experience in reviewing compliance processes, making recommendations for change and implementing changes is highly valuable
- Post-secondary education in a related discipline (business, compliance, audit)

**Benefits of Working at RFA**:

- Health & Dental Care
- Vision Care
- RRSP Match
- Vacation & Personal Days
- Hybrid working environment
- Proven problem identification and solution skills (including core, conceptual, and analytical thinking)
- Strong communication skills (including oral, written, report writing, and presentation)
- Ability to work collaboratively with a diverse group
- Adept in Microsoft Office suite
- Ability to demonstrate sense of urgency and a strong team spirit
- Self-motivated and flexible
- Capacity to take threads of information from multiple sources and distill into fact base
- Emotionally mature, demonstrating a non-defensive, objective, fact-based approach to issues

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