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Compliance Officer

2 months ago

Toronto, Ontario, Canada Alterna Savings Full time

Job Summary

The Compliance Officer will play a critical role in supporting the Regulatory Compliance Management framework at Alterna Savings. As a subject matter expert on regulatory controls, this individual will be responsible for analyzing and assessing risks related to regulations, executing the ongoing monitoring and control testing plan, and auditing/testing and reporting on the effectiveness of compliance controls throughout the organization.

Main Responsibilities

  • Stay up-to-date on changes related to Privacy Acts, Bank Act, consumer protection regulations, CU Act, Market Code, AODA, OSFI, FATCA, OECD Common Reporting Standard, NDNC, CDIC, and CASL.
  • Support the Regulatory Compliance Management framework and execute the risk-based ongoing monitoring and control testing plan.
  • Analyze and assess risks related to regulations according to compliance policy and procedures.
  • Audit/test and report the effectiveness of compliance controls throughout the organization.
  • Provide daily support to Alterna Savings to maintain and enhance the effectiveness of compliance.
  • Stay abreast of incoming regulations, techniques, strategies, and knowledge.
  • Work closely with the Compliance Manager to maintain, update, and improve policies and procedures for the compliance program.
  • Maintain organized and effective logs and reports of all activity for review and audits.
  • Test/Risk assess the effectiveness of compliance and risk controls.
  • Maintain a log of controls.
  • Assist the Compliance Manager with test plan development.
  • Execute the testing plan using a risk-based approach.
  • Perform tests.
  • Report results.
  • Tests are run on a weekly/monthly/quarterly cycle.
  • Support team leaders, branch managers, and the ASK centre on compliance issues and execute the risk-based ongoing monitoring strategy.
  • Complete documented comprehensive member/customer/product/business process analysis.
  • Report review.
  • Documentation review/update.
  • Process review.
  • Detailed sample review.
  • Interview.
  • Complete report.
  • The Compliance Officer will contribute to decisions on process development and improvement internally and as they relate to regulatory compliance controls throughout the organization and provide assurance of the final process's compliance to regulatory compliance guidelines.
  • Maintain an organized electronic record-keeping system.

Qualifications

Education/Certifications/Experience

  • Post-secondary education in a related field (business, banking, law, economics, psychology, behavioural science).
  • 5 years of related experience.
  • Knowledge or completion of banking/investment industry courses is an asset.
  • Knowledge or completion of audit-related courses/certifications is an asset.
  • Knowledge or completion of risk management-related courses/certifications is an asset.
  • Knowledge or completion of business analysis/project management courses/certifications is an asset.

Knowledge/Skills

  • Strong Excel report development skills.
  • General working knowledge and understanding of all regulations affecting Alterna Savings.
  • Good knowledge in Privacy and Consumer Protection.
  • Internal Audit.