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Regulatory Compliance Analyst

3 months ago

Old Toronto, Ontario, Canada ProViso Staffing Full time
Overview:

The Operations & Regulatory Project Management Office is dedicated to supporting the Wealth Management Complaints and Investigations program, which encompasses various Canadian Wealth Management entities within the Client Group. This role involves managing client grievances, regulatory reporting, and response obligations.

Value Proposition:

The selected candidate will gain invaluable experience in a dynamic sector of the banking industry.

Key Responsibilities:

Manage the client complaint process, which includes:

  1. Receiving and onboarding complaints;
  2. Creating electronic folders for documentation;
  3. Engaging with all parties involved (branch manager, advisor, and client);
  4. Notifying regulatory bodies of complaints, internal investigations, and civil claims through designated systems;
  5. Corresponding with clients via mail or email;
  6. Monitoring and ensuring compliance with response timelines (e.g., acknowledgment within five business days);
  7. Submitting requests for approval of Full and Final Release Forms;
  8. Organizing client communications and evidence of complaint assessments.

Evaluate, analyze, and investigate client complaints, including:

  1. Identifying issues;
  2. Conducting thorough analyses and providing resolution recommendations;
  3. Performing profit/loss assessments;
  4. Drafting comprehensive responses for service and regulatory complaints for review;
  5. Preparing documentation for regulatory examinations and assisting legal counsel with arbitration or litigation cases;
  6. Supporting Senior Managers in compiling requested documentation for regulators;
  7. Collaborating with other service units and support teams;
  8. Managing various email inboxes related to complaints;
  9. Maintaining logs for complaints and investigations as assigned;
  10. Recommending enhancements to policies, procedures, and systems to ensure ongoing compliance and prevent future non-compliance.
Qualifications:

Essential Skills:

  • At least 3 years of relevant experience in a large financial institution or regulatory agency;
  • Completion of relevant securities courses, such as the Canadian Securities Course;
  • Solid understanding of Canadian regulatory trends and the ability to translate requirements into effective policies and procedures.

Preferred Skills:

  • Experience in Canadian Banking or Wealth Management;
  • Bilingual proficiency in English and French.

Soft Skills:

  • Exceptional written and verbal communication abilities;
  • Capacity to adapt to rapidly evolving regulatory environments;
  • Ability to work independently and collaboratively across departments;
  • Strong analytical skills, strategic thinking, and attention to detail.
Education:

A degree in a related field is required.

Ideal Candidate:

The ideal candidate will possess prior experience in Canadian banking and demonstrate the necessary soft skills alongside the essential qualifications.

Interview Process:

The selection process may involve one or two rounds of interviews, focusing on assessing the candidate's mindset and adaptability.