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Compliance Officer

1 month ago

Ottawa, Ontario, Canada Alterna Savings Full time

Job Summary

The Compliance Officer role at Alterna Savings is a critical position that supports the Regulatory Compliance Management framework. As a subject matter expert on regulatory controls, you will analyze and assess risks related to regulations, execute ongoing monitoring and control testing plans, and audit/test and report on the effectiveness of compliance controls throughout the organization.

Key Responsibilities

  • Stay up-to-date on changes related to Privacy Acts, Bank Act, consumer protection regulations, CU Act, Market Code, AODA, OSFI, FATCA, OECD Common Reporting Standard, NDNC, CDIC, and CASL.
  • Support the Regulatory Compliance Management framework and maintain, update, and improve policies and procedures for the compliance program.
  • Execute risk-based ongoing monitoring and control testing plans, analyze and assess risks related to regulations, and audit/test and report on the effectiveness of compliance controls.
  • Provide daily support to Alterna Savings to maintain and enhance the effectiveness of compliance.
  • Work closely with the Compliance Manager to maintain, update, and improve policies and procedures for the compliance program.
  • Maintain organized and effective logs and reports of all activity for review and audits.
  • Test/Risk assess effectiveness of compliance and risk controls, maintain log of controls, and assist the Compliance Manager with test plan development.
  • Execute testing plans using a risk-based approach, perform tests, report results, and support team leaders, branch managers, and the ASK centre on compliance issues.
  • Complete documented comprehensive member/customer/product/business process analysis, report review, documentation review/update, process review, detailed sample review, interview, and complete report.
  • 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.
  • Maintain organized electronic record-keeping systems.

Qualifications

Education/Certifications/Experience

  • 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, audit-related courses/certifications, risk management-related courses/certifications, business analysis/project management courses/certifications, an asset.

Knowledge/Skills

  • Strong Excel report development skills.
  • General working knowledge and understanding of all regulations affecting the Credit Union and Bank.
  • Good knowledge in Privacy and Consumer Protection.
  • Internal Audit.