Regulatory Compliance Specialist

2 months ago

Toronto, Ontario, Canada President's Choice Financial Full time

About This Role

We are seeking a highly skilled Senior Compliance Analyst to join our team at President's Choice Financial. As a key member of our Compliance organization, you will play a critical role in managing our Regulatory Compliance Management System (RCMS) and ensuring adherence to regulatory requirements.

Key Responsibilities

  • Develop and implement effective compliance strategies to mitigate regulatory risk and ensure ongoing adherence to regulatory requirements.
  • Collaborate with business stakeholders to identify and assess compliance risks, and develop and implement controls to mitigate these risks.
  • Manage the RCMS inventory of governing legislation and controls, and ensure that all business units are aware of and compliant with regulatory requirements.
  • Participate in the oversight program to ensure awareness of governing legislation and identification of issues of non-compliance.
  • Execute risk assessment and monitoring programs to evaluate the design and operating effectiveness of controls, and monitor material exposures to regulatory risk.
  • Identify and manage instances of non-compliance, and develop and implement remediation plans as necessary.
  • Review business controls to ensure they are sufficient to meet regulatory requirements, and identify control improvement opportunities.
  • Train and advise employees on compliance-related matters, and provide guidance on regulatory requirements.
  • Assist in the reporting of compliance-related issues to senior management and the Board of Directors.

Requirements

  • Bachelor's degree with a minimum of 3 years of relevant experience in the financial services industry, preferably in Regulatory Compliance, Internal Audit, Risk Management, or a similar function.
  • Ability to communicate clearly and effectively both verbally and in writing.
  • Knowledge of and experience with eGRC systems.
  • Ability to prioritize effectively and think critically in a fast-paced environment.
  • Strong personal accountability, honesty, and integrity.
  • A friendly, outgoing attitude with the ability to create partnerships with key business stakeholders.
  • Excellent time management skills and ability to work independently towards deadlines.
  • Proficiency in Microsoft Office (Excel, Word, PowerPoint, Visio).

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