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Compliance Officer

2 months ago

Ottawa, Ontario, Canada Alterna Savings Full time

About the Role

The Compliance Officer will play a critical role in supporting the Regulatory Compliance Management framework at Alterna Savings. As a subject matter expert on regulatory controls, you will be responsible for analyzing and assessing risks related to regulations, executing ongoing monitoring and control testing plans, and auditing/testing 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 contribute to decisions on process development and improvement.
  • Execute the risk-based ongoing monitoring and control testing plan, analyzing and assessing risks related to regulations according to compliance policy and procedures.
  • Audit/test and report 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.
  • Maintain organized and effective logs and reports of all activity for review and audits.
  • Test/Risk assess the effectiveness of compliance and risk controls.
  • Maintain a log of controls.
  • Assist the Compliance Manager with test plan development.
  • Execute testing plans using a risk-based approach.
  • Perform tests and report results.
  • Tests are run on a weekly/monthly/quarterly cycle.
  • Support team leaders, branch managers, and 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.
  • Complete report.

Qualifications

Education / Certifications / Experience

  • Post-Secondary education in a related field (business, banking, law, economics, psychology, behavioural science).
  • 5 years of related experience.
  • Knowledge or completion of banking/investment industry courses an asset.
  • Knowledge or completion of Audit-related courses/certifications an asset.
  • Knowledge or completion of Risk management-related courses/certifications an asset.
  • Knowledge or completion of 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.