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Compliance Control Specialist
2 months ago
Job Overview
The Compliance Control Specialist role contributes to Wawanesa's second line Enterprise Compliance team. This role works under minimal supervision of the Director, Compliance Programs & Reporting to perform testing and monitoring of activities supporting Wawanesa's Regulatory Compliance Management (RCM) framework and complying with OSFI's E13 RCM Guideline by maintaining the regulatory risk universe.
Key Responsibilities
- Manage the regulatory risk and controls universe, assessing regulatory compliance risk based on the RCM framework and Enterprise policies.
- Conducts testing of internal controls to assess Wawanesa's compliance with applicable laws, regulations, and regulatory guidelines.
- Research and analyze relevant Canadian federal and provincial laws and regulations.
- Design and execute test procedures, including criteria development, questionnaires/surveys, evidence identification and coordinating processes and procedures documentation.
- Conduct stakeholder interviews, review documents, and prepare comprehensive working papers.
- Identify and document instances of non-compliance and potential regulatory issues, supporting compliance reporting processes.
- Provide recommendations to strengthen internal controls to Management.
- Cultivate working relationships with key stakeholders, collaborating across oversight functions.
- Work closely with the Legal and Governance team to assess and mitigate regulatory compliance risks.
- Contribute to additional duties, projects, and responsibilities as assigned.
Qualifications
- Minimum 3 years' regulatory compliance, internal audit, or external audit experience performing control testing, preferably in a regulated financial institution.
- Post-secondary degree/certificate or an equivalent combination of education and experience in business management, legal, public policy, or information systems.
- Interest in or actively pursuing the CIP designation would be considered an asset.
- A working knowledge of Microsoft Excel is required.
- Experience with governance, risk, and compliance tools such as Ethidex, Archer, MetricStream would be considered an asset.
- Experience with Guidewire and insurance/broker management systems would be an asset.
- Excellent attention to detail, analytical and problem-solving skills, with the ability apply critical thinking to principles-based laws and regulations.
- Exceptional written and oral communication skills, with the ability to communicate at the right level for the audience and present information or arguments in a convincing manner.
- Excellent planning, organizing, and time management skills.
- Ability to work independently as part of a team.
- Excellent attention to detail with the ability to influence key relationships.
- Bilingualism (French and English) would be considered an asset.
