Compliance Specialist- Canada

6 months ago

North Vancouver, Canada Accord Financial Corporation Full time

**Summary**:The Compliance Specialist is accountable for reviewing documentation for new and pre -existing accounts to ensure that they are compliant with the procedural requirements. This includes evaluating low, medium and high-risk accounts.

**Essential Duties and Responsibilities**:

- Strongly adhere to existing procedures and controls in place and pro-actively react when foreseeing issues; ensure that checklist, job aids and system changes are updated and followed
- Perform on-going AML/KYC reviews of the register in line with EDC regulatory requirements
- Ensure all accounts adhere to internal KYC and AML policy
- Ensuring strict adherence to internal rules, policies and procedures
- Ability to learn and use specialty compliance software, accurately compile compliance data, and leverage tool(s) to produce output for management, including executing an established report generation and routing schedule.
- Conduct testing to identify discrepancies between established compliance requirements and rules and customer, compliance department, and data file records to ensure compliance procedures are being executed in a timely manner, are complete, and accurate. Create management reports/dashboards to document outcomes of testing.
- Assist in the compilation and maintenance of compliance documentation and records, including but not limited to: department policies and procedures, AML activity data and statistics, and AML Program governance documentation
- Make timely responses to all inquiries for compliance assistance and/or rule interruption.
- Assists with researching regulatory compliance requirements and evaluating the adequacy of business policies, procedures, training and reference materials, system, and manual processes.
- Assists with the identification and assessment of compliance program risks and controls.
- Supports management in the development, implementation, and maintenance of compliance programs and a culture of compliance.
- Assists with the preparation of status reports of program initiatives, activities, and compliance issues to management and committees.
- Review and manage documentation, contracts, processes, and practices to ensure technical and legal compliance.
- Monitor compliance and facilitate interventions to manage risks.
- Perform compliance audits and compile reports.
- Document compliance-related processes and maintain records.

**Leadership Competencies**:
Results Oriented

Two-way Communication

Building Relationships

Critical Thinking and Decision Making

Adaptability and Change Leadership

Technical/Functional Expertise

**Education / Experience Requirements**:

- College degree or equivalent.
- 2-4 years’ experience in related field
- Excellent interpersonal and communication skills
- Very strong ability to organize and prioritize work.
- Team Player, able to work in a team environment with shared goals and accountabilities
- Highly degree of attention to detail to ensure 100% accuracy on all transactions
- Strong research / information gathering / analytical and problem-solving skills - takes a logical approach to analyzing problems.
- Highly proficient in the use of Microsoft Applications (Word, Excel, PowerPoint, SharePoint).
- Ability to learn new specialty software.
- Strong organizational and data management skills.
- Excellent verbal and written communication skills required.
- Independent problem-solving and self-directed.

**Experience**: Preferred
- Strong research / information gathering / analytical and problem-solving skills - takes a logical approach to analyzing problems.
- 2 - 4 years: 2-4 years’ experience in related field

**Education**: Required
- Bachelor's degree or better in Finance or related field

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