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Regulatory Compliance Analyst

3 months ago

Toronto, Ontario, Canada Alterna Full time
Position Overview

The role of the Compliance Specialist focuses on supporting the framework of Regulatory Compliance Management. This position is recognized as a subject matter expert in regulatory controls.

Key Responsibilities
  • Conduct risk analysis and assessments related to regulations in accordance with compliance policies and procedures.
  • Implement and execute a risk-based ongoing monitoring and control testing strategy.
  • Perform audits and tests, reporting on the effectiveness of compliance controls across the organization.
  • Provide daily support to enhance compliance effectiveness.
  • Stay informed about emerging regulations, techniques, and best practices.
  • Collaborate with the Compliance Manager to update and improve compliance policies and procedures.
  • Assess the effectiveness of compliance and risk controls through testing.
  • Maintain a comprehensive log of compliance controls.
  • Assist in the development of testing plans.
  • Execute testing plans using a risk-based methodology, conducting tests on a regular cycle.
  • Support team leaders and branch managers on compliance-related matters.
  • Conduct thorough analyses of member, customer, product, and business processes.

The Compliance Specialist will play a crucial role in guiding decisions on process development and enhancements, ensuring adherence to regulatory compliance standards throughout the organization.

Qualifications
  • Post-secondary education in a relevant field such as business, banking, law, economics, psychology, or behavioral science.
  • Knowledge or completion of courses in banking/investment, audit, risk management, or business analysis/project management is advantageous.
  • Proficient in Excel for report development.

Alterna Savings and Credit Union Limited has been committed to providing transformative financial services for over 115 years, contributing positively to the community. As a member-owned cooperative financial institution, Alterna Savings serves over 210,000 members through a network of branches and digital channels, offering industry-leading online brokerage and investment management services.

We take pride in our corporate culture that emphasizes Integrity, Respect, and Collaboration, fostering a unified approach towards achieving our goals.