Compliance Specialist

2 weeks ago

Calgary, Alberta, Canada Neo Financial Full time


Compliance Role Overview

We are seeking a highly skilled Senior Compliance Specialist to join our team at Neo Financial. This role will be responsible for navigating our fast-paced environment, adapting to any scenario, and addressing the dynamic and ever-changing landscape of risk and compliance.

Key Responsibilities


  • Develop and maintain extensive knowledge of federal and provincial compliance laws and regulations applicable to Neo's business
  • Lead the design and implementation of IT controls around change management, data governance, system implementation, role-based security, and other tech-related functions
  • Conduct and maintain up-to-date risk assessments, identifying mitigating controls to ensure Neo's residual risks are in line with its enterprise risk tolerance
  • Facilitate compliance monitoring, risk assessments, analyze and prepare reports for PCI and SOC 2 compliance
  • Perform vendor compliance due diligence and help monitor third-party risk profiles
  • 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, identifying gaps and creating remediation plans to address
  • Investigate and respond to compliance risk issues, regulatory inquiries, including preparing required documentation and making recommendations to senior management on how to proceed
  • Work with product and engineering teams to embed automated controls into products and internal tools to meet compliance requirements
  • Work closely with senior management to develop and maintain a cultural focus on compliance
  • Additional ad-hoc tasks as required by business needs

Requirements


  • At least 5+ years of experience in compliance, risk management, or audit roles, preferable with knowledge within financial services
  • A strong ability to build relationships as well as establish trust and credibility with your colleagues through excellent verbal, written, and interpersonal communication skills
  • Experience working effectively in a team environment where flexibility, collaboration, and adaptability are important
  • Possess strong organizational and prioritizing skills
  • Have 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)
  • PCIP/ISA qualifications is considered an asset
  • CPA/CISA designation is considered an asset

What We Offer

Joining Neo Financial means betting on yourself and discovering your full potential. As individuals and as a team, we continually challenge ourselves and each other to do our best work. We're making change happen at a rapid pace — providing endless opportunities to sharpen your skills, expand your knowledge, and find new solutions to complex problems. That means rapid career progression and constant learning opportunities.



The people who thrive at Neo are resourceful, relentless, and want to win. We hold ourselves to high standards, because we're on a mission that matters — to transform financial services for the better. If that's what you're looking for, read on.



We trust, respect, and show up for each other. That means truthful conversations, frequent feedback, and working with people who push you to be your best. We're evolving quickly as an organization, we work together in person, and the pace of progress isn't for everyone. That's why we're looking for change-makers who love a challenge — who would rather blaze a trail through uncertainty than travel a well-paved road.



Our team members earn meaningful equity in the company through stock options — so Neo's growth benefits everyone who helps make it happen. That also means taking on more responsibility than you may have had at your last job. We don't get hung up on job titles or hierarchy — we're focused on doing what it takes to accomplish our mission.


  • Compliance Specialist

    3 weeks ago

    Calgary, Alberta, Canada Norton Rose Fulbright Full time

    **Job Description**We are seeking a Compliance Specialist to join our team at Norton Rose Fulbright. This is a remote position based out of any of our Canadian offices, with attendance required in office approximately once a week.The Compliance Specialist will oversee the firm's compliance with applicable rules of professional conduct, regulatory...

  • Regulatory Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Regulatory Compliance SpecialistJob Description: We are seeking a highly skilled Regulatory Compliance Specialist to join our team at beBee Professionals in Calgary. The successful candidate will be responsible for ensuring that our banking activities comply with all applicable laws and regulations. The ideal candidate will have a strong background in...

  • Compliance Specialist

    1 month ago

    Calgary, Alberta, Canada ADP, Inc. Full time

    About ADP, Inc.ADP, Inc. is a leading provider of business outsourcing solutions, with a strong presence in the Canadian market. With over 60 years of experience, we offer a wide range of human resource, payroll, tax, and benefits administration solutions from a single source.The Role/Position:As a Regulatory Compliance Specialist, you will play a critical...

  • Financial Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Job Title: Financial Compliance SpecialistWe are seeking a highly skilled Financial Compliance Specialist to join our team at beBee Professionals in Calgary, AB. The successful candidate will be responsible for ensuring that the company's financial activities are in compliance with applicable laws and regulations.Key Responsibilities:Develop and implement...

  • Regulatory Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Government of Alberta Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at the Government of Alberta. As a key member of our Investigator team, you will play a critical role in ensuring regulatory compliance and supporting high professional standards for law enforcement-based services in Alberta.Key ResponsibilitiesConduct professional...

  • Compliance Specialist for Energy Industry

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Payroll Compliance Specialist Job OpportunityJob Title: Payroll Compliance Specialist for Energy SectorLocation: Calgary, AlbertaCompany: beBee ProfessionalsWe are seeking a highly skilled Payroll Compliance Specialist to ensure compliance with all applicable payroll regulations and laws. The successful candidate will have a thorough understanding of payroll...

  • Cybersecurity Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Alberta Electric System Operator Full time

    About the RoleWe are seeking a highly skilled Cybersecurity Compliance Specialist to join our team at the Alberta Electric System Operator. As a key member of our Compliance Monitoring Program, you will be responsible for ensuring the efficient and effective execution of compliance monitoring activities related to the Alberta Reliability Standards (ARS).In...

  • Regulatory Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada WEST Inc Full time

    Job Title: Regulatory Compliance SpecialistThe Regulatory Compliance Specialist at WEST Inc. will be responsible for ensuring compliance with environmental regulations and laws related to renewable energy projects. This includes reviewing and analyzing data, conducting field studies, and communicating with clients and stakeholders.Key Responsibilities:Design...

  • SOX Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Adecco Canada Full time

    Job Title: SOX Compliance SpecialistAdecco Canada is seeking a skilled SOX Compliance Specialist to join our team. As a key member of our organization, you will be responsible for overseeing and supporting the development, implementation, and maintenance of SOX compliance programs within our client's organization in Calgary, AB.In this role, you will...

  • Senior Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Neo Financial Full time

    Compliance Specialist Job DescriptionAt Neo Financial, we're seeking a highly skilled Compliance Specialist to join our team in Calgary. As a key member of our compliance team, you'll play a critical role in ensuring our business operations align with regulatory requirements and industry standards.Key Responsibilities:Develop and maintain in-depth knowledge...

  • ARS Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Enmax Full time

    ARS Compliance Specialist Job DescriptionAt ENMAX Corporation, we are seeking a highly skilled ARS Compliance Specialist to join our team. As a key member of our compliance team, you will be responsible for ensuring that our company remains compliant with regulatory requirements.Key Responsibilities:Develop and implement a risk-based framework for evaluating...

  • Care Standards Compliance Specialist

    3 days ago

    Calgary, Alberta, Canada Government of Alberta Full time

    Job DescriptionWe are seeking a highly skilled Care Standards Compliance Specialist to join our team at the Government of Alberta.Key Responsibilities:Conduct thorough audits and on-site inspections in publicly funded continuing care settings to ensure compliance with provincial standards, regulations, and associated standards.Investigate complaints and...

  • Payroll Compliance Specialist for Energy Sector

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Job Title: Payroll Compliance Specialist for Energy SectorLocation: Calgary, AlbertaCompany: beBee ProfessionalsJob Description:We are seeking an experienced Payroll Compliance Specialist to ensure compliance with all applicable payroll regulations and laws. The successful candidate will provide support to the payroll team and have a thorough understanding...

  • Compliance Officer

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Job Title: Ethics and Compliance SpecialistLocation: Calgary, ABCompany: beBee ProfessionalsJob Description:beBee Professionals is seeking an experienced Ethics and Compliance Specialist to join our team in Calgary, AB. The successful candidate will be responsible for developing, implementing, and monitoring the company's compliance program to ensure...

  • Senior Compliance Specialist

    3 weeks ago

    Calgary, Alberta, Canada Neo Financial Full time

    Transform Financial Services with Neo FinancialAt Neo Financial, we're revolutionizing the way Canadians manage their finances. As a Senior Compliance Specialist, you'll play a pivotal role in ensuring our operations align with regulatory requirements and industry standards.Key Responsibilities:Develop and maintain in-depth knowledge of federal and...

  • Senior Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Neo Financial Full time

    Transform Financial Services with Neo FinancialWe'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.Key Responsibilities:Develop and maintain in-depth knowledge of federal and provincial...

  • Environmental Compliance Specialist

    1 month ago

    Calgary, Alberta, Canada Plains Midstream Canada ULC Full time

    Job Title: Environmental Compliance SpecialistPlains Midstream Canada ULC is seeking a highly motivated and detail-oriented Environmental Compliance Specialist to join our team in Calgary or Sherwood Park. As a key member of our Environment team, you will play a critical role in supporting our environmental compliance needs through the implementation and...

  • Software License Compliance Specialist

    2 weeks ago

    Calgary, Alberta, Canada Government of Alberta Full time

    Role OverviewThe Government of Alberta is seeking a skilled Software License Compliance Specialist to join our team. In this role, you will be responsible for ensuring compliance with software licensing agreements and policies.Key ResponsibilitiesConduct thorough research and analysis to identify and evaluate options for software licensing.Develop and...

  • Code Compliance Specialist

    3 days ago

    Calgary, Alberta, Canada destinationone Consulting Full time

    Job OverviewAt destinationone Consulting, we are seeking a highly skilled Code Compliance Specialist to join our team. As a key member of our organization, you will be responsible for enforcing local codes and regulations related to property maintenance, land use, and zoning.About the RoleInspect properties and sites to ensure compliance with local building...

  • Senior Specialist, Compliance

    4 weeks ago

    Calgary, Alberta, Canada TSX Inc. Full time

    Job SummaryWe are seeking a highly skilled Senior Specialist, Compliance to join our team at TSX Inc. This role will be responsible for ensuring the compliance of our listed issuers with the Exchange's continued listing requirements.Key ResponsibilitiesAnalyze financial and continuous disclosure documentation to identify any non-compliance issues.Work with...