Compliance Analyst

7 months ago

Mississauga, Canada Primerica Full time

About this Position

We are looking for a Compliance Analyst to join our Compliance department.

Responsibilities and Qualifications

**Responsibilities**:

- Researching and analyzing applicable legislative and regulatory actions concerning segregated fund and insurance products, ancillary products, field operations and home office administration
- Tracking project plans for implementation of legislative and regulatory changes and work with various departments to ensure that implementation plans are being met
- Updating and maintaining compliance policies and procedures and other related documentation
- Assist in conducting quarterly regulatory compliance self-assessments for the Regulatory Compliance Department
- Educating and informing the business units regarding compliance requirements, including legislative and business practices
- Preparing formal and informal compliance reports and other communications to the business units on a regular and ad hoc basis
- Assisting in managing privacy policies and supporting the Privacy Office
- Organizing and managing documentation for regulatory, internal audit and other reviews
- Implementing US Head Office related policies as required
- Managing the Regulatory Compliance Department’s files, records and performing other administrative duties
- Assisting in investigations into privacy and ombudsman level complaints and with the preparation of responses with a view to ensuring prompt and proper resolutions
- Coordinating investigations into suspicious or attempted suspicious transactions and reporting on final conclusions
- Conducting politically exposed person reviews and performing other anti-money laundering and terrorist financing (AML) related activities, including regulatory reporting
- Managing the development and delivery of compliance training programs
- Assisting in the research, maintenance and reporting on legislative compliance management systems
- Acting as the administrator for the annual regulatory compliance management attestation process for all applicable entities, including coordination with management and the service provider, tracking completion and working with business units to resolves any gaps that have been identified
- Ensure communications and bulletins issued by the Regulatory Compliance Department reach the intended audience in a timely manner
- Tracking compliance incidents and other related matters
- Assisting in the oversight of the proprietary segregated fund product
- Coordinate the Life Insurance Company’s filing of the Annual Statement on Market Conduct
- Miscellaneous duties as assigned

Qualifications:

- Post secondary education or equivalent of knowledge and skills acquired through related work experience
- Experience in legislative and corporate compliance management
- Excellent written and verbal communication skills
- Ability to prioritize and strong attention to detail
- Ability to work well both independently and in a team environment
- Focused, results-oriented individual with the strong ability to multi-task and perform under pressure in a fast paced environment
- Must be possess exemplary knowledge in MS Office (Word, Excel, PowerPoint, Access) and have the ability to quickly learn new technology
- Previous experience in the financial services industry would be considered an asset
- AML course work would be considered an asset
- Bilingualism would be considered an asset

It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.

At Primerica, we believe that diversity and inclusion are critical to our future and our mission - creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.

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