Compliance Expert

3 weeks ago

Calgary, Alberta, Canada Neo Financial Full time
About Neo Financial

We're a rapidly expanding fintech company in Calgary, Canada, with a mission to transform financial services for the better.


Job Title: Compliance Expert - Financial Risk Specialist
Job Type: Full-time
Salary: $120,000 - $180,000 per year
Location: Calgary, Canada
About the Role

We're seeking a highly experienced Compliance Expert - Financial Risk Specialist to join our team. As a key member of our compliance team, you'll be responsible for developing and maintaining extensive knowledge of federal and provincial compliance laws and regulations, and industry standards applicable to our business.


You'll lead the design and implementation of processes and controls for our Third Party Risk Management program, making updates in accordance with new legislation or requirements. Your role will involve performing vendor compliance due diligence and monitoring third-party risk profiles, conducting and maintaining up-to-date third-party risk assessments, and identifying mitigating controls to ensure our residual risks align with our enterprise risk tolerance.


You'll also complete privacy impact assessments to ensure data security is maintained to the highest level, evaluate business processes and procedures to identify compliance risks, and develop improvement plans. Regularly reviewing and updating policies and processes to reflect the latest jurisdictional regulations and emerging compliance best practices will be a key part of your role.


Responsibilities:
  • Develop and maintain extensive knowledge of federal and provincial compliance laws and regulations, and industry standards applicable to our business.
  • Lead the design and implementation of processes and controls for our Third Party Risk Management program.
  • Perform vendor compliance due diligence and monitor third-party risk profiles.
  • Conduct and maintain up-to-date third-party risk assessments.
  • Complete privacy impact assessments to ensure data security is maintained to the highest level.
  • Evaluate business processes and procedures to identify compliance risks.
  • Develop improvement plans to address compliance risks.
  • Regularly review and update policies and processes to reflect the latest jurisdictional regulations and emerging compliance best practices.
  • Execute quarterly and annual audits of our compliance program.
  • Investigate and respond to compliance risk issues, regulatory inquiries, and prepare required documentation.

Requirements:
  • At least 5+ years of experience in compliance, risk management, or audit roles, preferably with knowledge within financial services.
  • Prior experience with vendor compliance and vendor management.
  • Working knowledge of risk management subject matter, including OSFI B-10 or similar industry standards.
  • Strong ability to build relationships, establish trust, and credibility with 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.
  • 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).
  • Risk management qualifications are considered an asset.
  • CPA/CISA designation is considered an asset.

What We Offer:
  • Meaningful equity in the company through stock options.
  • Opportunities for rapid career progression and constant learning.
  • A dynamic and inclusive work environment.
  • Competitive salary and benefits package.

How to Apply:

We believe in equal opportunity and are committed to creating an inclusive climate where everyone can thrive. Customers trust us with their finances, so successful candidates for this position will be required to undergo a security screening, including a criminal records check and a credit check.


We're an equal opportunities employer.

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