Senior Compliance Specialist

2 weeks ago

Calgary, Alberta, Canada Neo Financial Full time
Transform Financial Services with Neo Financial

We're on a mission to revolutionize financial services for Canadians. As a Senior Compliance Specialist, you'll play a critical role in ensuring our operations align with regulatory requirements and industry best practices.

About the Role

As a key member of our compliance team, you'll be responsible for:

  • Developing and maintaining in-depth knowledge of federal and provincial compliance laws and regulations
  • Leading the design and implementation of IT controls to mitigate risks
  • Conducting risk assessments and identifying mitigating controls to ensure Neo's residual risks align with our enterprise risk tolerance
  • Facilitating compliance monitoring, risk assessments, and reporting for PCI and SOC 2 compliance
  • Performing vendor compliance due diligence and monitoring third-party risk profiles
  • Evaluating business processes and procedures to identify compliance risks and developing improvement plans
  • Regularly reviewing and updating policies and processes to reflect the latest jurisdictional regulations and emerging compliance best practices
  • Executing quarterly and annual audits of Neo's compliance program, identifying gaps, and creating remediation plans
  • Investigating and responding to compliance risk issues, regulatory inquiries, and preparing required documentation
What We're Looking For

We're seeking a highly skilled and experienced compliance professional with:

  • At least 5+ years of experience in compliance, risk management, or audit roles, preferably in financial services
  • Strong ability to build relationships and establish trust and credibility with colleagues through excellent communication skills
  • Experience working effectively in a team environment with flexibility, collaboration, and adaptability
  • Strong organizational and prioritizing skills
  • Advanced Microsoft Office or G Suite skills
  • Working knowledge of IT processes, IT compliance, IT frameworks, such as SSAE 16 SOC 2, PCI compliance, NIST, ISO 27001 & OWASP Top Ten
  • Solid understanding of IT systems, applications, networks, and databases
  • Prior experience with vendor compliance and vendor management is an asset
  • Knowledge and/or experience with relevant legislation and regulation is an asset (i.e. PCI, SOC 2, FINTRAC, FCAC, PIPEDA, OSFI, CDIC; and/or the Ontario Securities Commission)
Why Join Neo Financial?

We're a rapidly growing fintech company that's transforming financial services for Canadians. As a Senior Compliance Specialist, you'll have the opportunity to:

  • Work with a talented team of professionals who are passionate about making a difference
  • Contribute to the development of our compliance program and ensure our operations align with regulatory requirements
  • Take on new challenges and responsibilities as our company grows and evolves
  • Enjoy a dynamic and fast-paced work environment with opportunities for professional growth and development

We're committed to creating an inclusive climate where everyone can thrive. Successful candidates for this position will be required to undergo a security screening, including a criminal records check and a credit check.

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