Senior Compliance Specialist

2 weeks ago

Calgary, Alberta, Canada Neo Financial Full time
About Neo Financial

At Neo Financial, we're revolutionizing the financial services industry by providing a more rewarding experience for Canadians. Our mission is to transform the way people manage their finances, and we're looking for talented individuals to join our team.

The Role

We're seeking a Senior Compliance Specialist to join our team in Calgary. As a key member of our compliance team, you'll play a critical role in ensuring that our business operations are in compliance with federal and provincial laws and regulations.

Key Responsibilities
  • Develop and maintain extensive knowledge of compliance laws and regulations applicable to Neo's business
  • Lead the design and implementation of processes and controls for Neo's Third Party Risk Management program
  • Perform vendor compliance due diligence and monitor third-party risk profiles
  • Conduct and maintain up-to-date third-party risk assessments and identify mitigating controls
  • Complete privacy impact assessments to ensure data security
  • Evaluate business processes and procedures to identify compliance risks and develop improvement plans
  • Regularly review and update policies and processes to reflect the latest jurisdictional regulations and emerging compliance best practices
  • Execute quarterly and annual audits of Neo's compliance program and identify gaps
  • Investigate and respond to compliance risk issues and regulatory inquiries
Requirements
  • At least 5+ years of experience in compliance, risk management, or audit roles, preferably with knowledge in financial services
  • Prior experience with vendor compliance and vendor management
  • Working knowledge of risk management subject matter, including OSFI B-10 or similar industry standards
  • Strong ability to build relationships and establish trust and credibility with colleagues
  • Experience working effectively in a team environment with flexibility, collaboration, and adaptability
  • Possess strong organizational and prioritizing skills
  • Advanced Microsoft Office or G Suite skills
  • Knowledge and/or experience with relevant legislation and regulation is an asset
What We Offer

At Neo Financial, we offer a dynamic and fast-paced work environment with opportunities for professional growth and development. Our team members earn meaningful equity in the company through stock options, and we're committed to creating an inclusive climate where everyone can thrive.

We're looking for individuals who are passionate about making a difference in the financial services industry and are willing to take on new challenges. If you're a motivated and results-driven professional with a strong background in compliance, we encourage you to apply.

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