Analyst, Compliance

4 weeks ago

Toronto, Canada First National Financial Full time

We are hiring an Analyst, Compliance
**The Role**: This position will play an important role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high quality, professional, and independent compliance testing. The incumbent will contribute to a strong compliance and risk management culture through collaboration with other first, second and third-line functions to ensure Compliance risks are identified, mitigated, monitored and reported on an ongoing basis. The incumbent will work closely with key stakeholders throughout the businesses to conduct process and control evaluations as well as identify remediation actions and process improvement opportunities.

**Compliance Department Overview**:
The Compliance Department at First National performs a second-line of defense function by overseeing the enterprise-wide compliance program, including managing the regulatory compliance framework, providing regulatory guidance and collaborating with business stakeholders to ensure our business strategies, plans and initiatives are executed and delivered in compliance with governing regulations, internal policies and procedures. This Department is responsible for independently assessing the adequacy, adherence to, and effectiveness of First National's day-to-day Regulatory Compliance Management (RCM) controls, and for providing an opinion to the Executive Management and to the Board on overall compliance with the applicable regulatory requirements enterprise-wide.

**Reporting To**: Assistant Manager, Compliance
**Full-Time/Part
- Time**: Full-time
**Posting Date**: May 31, 2024
**Closing Date**: June 10, 2024
**Hours of Work**: 8:30 a.m. - 5:00 p.m.
**Grade**: 8.6
**Office Location**: Downtown Toronto Great location Steps away from the main public transit station

**What we offer**:
Highly competitive compensation package which includes, base salary, bonus, benefits, and career advancement opportunities
- Eligibility for benefits is dependent on the terms of employment

**What you will do**:

- Supporting the implementation of the enterprise-wide compliance regime.
- Conducting risk-based monitoring reviews as part of the Compliance Monitoring Program to assess compliance with regulatory requirements and internal policies.
- Assisting the Compliance Department in implementing compliance processes, policies and procedures.
- Assisting with the update and/or development of policies and procedures for new and/or changed business processes and/or regulations.
- Maintaining an understanding of the business units’ strategies and objectives, products and services, and business processes as well as the underlying infrastructure to identify and manage compliance risk exposures for the business units.
- Supporting the compliance independent testing and monitoring program.
- Documenting test cases and results using tracking tools and approved sampling methodologies.
- Conducting process and control assessments by documenting process maps, assessing risk and control designs.
- Evaluating the design and operation of internal controls on assigned projects within the Compliance Audit universe.
- Working with the Compliance team and the business units to develop appropriate remediation actions to address any identified issues.
- Managing and reporting on the status of control deficiency remediation plans on an ongoing basis.
- Ensuring that the AVP, Compliance is advised of all material information derived from the monitoring and testing program, which will enable the Compliance Manager and Executive Management to provide an opinion on the adequacy of the RCM framework and state of compliance.
- Participating in Vendor Risk Management process.
- Keeping abreast of key compliance and regulatory changes and policy/procedures updates through ongoing completion of education programs and attending internal and external seminars and training sessions.
- Managing or supporting compliance projects and other business initiatives as required.

**The Requirements Needed**:
Education/ Experience
- Undergraduate degree, equivalent post-secondary education or an acceptable combination of relevant experience, education and/or training.
- 3+ years of relevant experience in conducting compliance reviews/audits, evaluating controls within financial services industry.
- Sound knowledge of compliance testing methodologies and processes.
- Demonstrate ability to understand Canadian laws, regulations, internal controls, policies and procedures.

Skills/Knowledge
- Good understanding and knowledge of:

- Residential, commercial and/or construction lending; and
- Regulatory environment and expectations within the Canadian financial services industry: i.e. exposure to the Provincial Mortgage Brokerages, Lenders and Administrators Acts, the Personal Information Protection and Electronic Documents Act (PIPEDA) and other provincial private sector privacy laws “substantially similar” to PIPEDA, the Canada’s A

  • Compliance Analyst

    6 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As

  • Compliance Analyst

    6 days ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Job Title: Compliance AnalystLocation: Toronto, CanadaCompany: beBee ProfessionalsJob Description:We are looking for a Compliance Analyst to join our team at beBee Professionals in Toronto. The Compliance Analyst will be responsible for ensuring that the company is compliant with all applicable laws and regulations. The successful candidate will be expected...

  • Compliance Analyst

    3 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    5 days ago

    Toronto, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    7 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    6 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    6 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • IT Compliance Analyst

    2 days ago

    Toronto, Canada nnovativ inc Full time

    **nnovativ** provides technology staffing and Digital Transformation Services for private and public sector organizations. We are currently seeking a IT Compliance Analyst for our Private Sector client. We value our professionals by providing comprehensive benefits and the opportunity for growth. This is a 12 month contract position with a possibility of...

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Pala Interactive Full time

    **Pala Interactive** is a full-service, real-money and social gaming technology provider and operator. Pala offer a full spectrum of games across all distribution channels (web, download, tablet & smartphone) which include casino, poker and bingo for real money and social gaming. **Overview** Pala Interactive is looking for a Compliance Analyst to work in...

  • Compliance Analyst

    2 months ago

    Toronto, Canada Morningstar Full time

    To support its Global Compliance Program, DBRS is seeking a Compliance Analyst in its Toronto Office. The Compliance Analyst is an integral part of the Compliance Program that addresses how the firm manages conflicts of interest. This role will be part of the Global Conflicts of Interest team - with global head based in London and other team members based in...

  • Compliance Analyst

    6 days ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    6 days ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst, Aml

    3 weeks ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping Canadians become much more financially successful and secure. We are everything a traditional financial institution is not. Our vision is to revolutionize financial services for the benefit of Canadians by providing the most innovative and cost efficient financial services online. That’s...

  • Compliance Analyst

    7 days ago

    Toronto, Ontario, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

  • Compliance Analyst @toronto, On

    7 days ago

    Toronto, Canada Atlantis IT group Full time

    **Role: Complaince Analyst** **Location: Toronto, ON** **Duration: Long term** **Description**: Organization NextGen environment is currently looking for a Compliance Analyst/Engineer for our SOC2 Certifications (Type 1 and 2) for our Service Offerings. NextGen Cloud provides a highly secure platform which provides differentiation across a Global platform...

  • Compliance Analyst/Officer

    2 months ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Analyst/Officer

    3 weeks ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Amex Full time

    You Lead the Way. We’ve Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a...

  • Compliance Analyst, Monitoring

    6 days ago

    Toronto, Ontario, Canada S I Systems Full time

    Intermediate AML Analyst to conduct compliance investigations and transaction monitoring for a large banking client Our large banking client is looking for an Intermediate AML Analyst to conduct compliance investigations and transaction monitoring. Please note This role is a hybrid working model with 4 days in the office, located downtown Toronto. 3+...