Compliance and Regulatory Affairs Specialist

4 days ago

Ottawa, Ontario, Canada Alterna Savings Full time
{"Job Summary

We are seeking a highly skilled Compliance Officer to support our Regulatory Compliance Management framework at Alterna Savings. The successful candidate will be a subject matter expert on regulatory controls and 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.

Key Responsibilities:

Stay up-to-date with changes to regulations such as Privacy Acts, Bank Act, and consumer protection regulations, CU Act, Market Code, AODA, OSFI, FATCA, OECD Common Reporting Standard, NDNC, CDIC, and CASL.

Support the Regulatory Compliance Management framework.

Execute the risk-based ongoing monitoring and control testing plan.

Analyze and assess risks related to regulations according to compliance policy and procedures.

Test and report on 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.

Manage and maintain organized and effective logs and reports of all activity for review and audits.

Test and assess the effectiveness of compliance and risk controls.

Maintain logs of controls.

Assist the Compliance Manager with test plan development.

Execute testing plans using a risk-based approach.

Perform tests.

Report results.

Tests are run on a weekly, monthly, or quarterly cycle.

Support team leaders, branch managers, and the ASK centre on compliance issues.

Complete comprehensive member/customer/product/business process analysis.

Report reviews.

Documentation reviews and updates.

Process reviews.

Detailed sample reviews.

Interviews.

Complete reports.

The Compliance Officer will be relied upon to 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.

Manage and maintain organized electronic record-keeping systems.

Qualifications

Post-secondary education in a related field (business, banking, law, economics, psychology, or 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 and Skills

Strong Excel report development skills.

A general working knowledge and understanding of all regulations affecting Alterna Savings and the banking industry.

Good knowledge in privacy and consumer protection.

Internal audit knowledge.

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