Senior Compliance Specialist

4 weeks ago

Calgary, Alberta, Canada Neo Financial Full time

Transforming Financial Services with Compliance Expertise

At Neo Financial, we're on a mission to revolutionize the financial services industry. As a Senior Compliance Specialist, you'll play a critical role in ensuring our operations align with regulatory requirements and industry standards.

Key Responsibilities:

  • Develop and maintain in-depth knowledge of federal and provincial compliance laws and regulations, as well as industry standards applicable to Neo's business.
  • Lead the design and implementation of processes and controls for Neo's Third Party Risk Management program, making updates as needed to reflect new legislation or requirements.
  • Perform vendor compliance due diligence and monitor third-party risk profiles.
  • Conduct and maintain up-to-date third-party risk assessments, identifying mitigating controls to ensure Neo's residual risks align with its enterprise risk tolerance.
  • Complete privacy impact assessments to ensure data security is maintained at the highest level.
  • Evaluate business processes and procedures to identify compliance risks and develop improvement plans.
  • Regularly review and update policies and processes to reflect the latest jurisdictional regulations and emerging compliance best practices.
  • Execute quarterly and annual audits of Neo's compliance program, identifying gaps and creating remediation plans to address.
  • Investigate and respond to compliance risk issues, regulatory inquiries, including preparing required documentation and making recommendations to senior management on how to proceed.
  • Work with product and engineering teams to embed automated controls into products and internal tools to meet compliance requirements.
  • Collaborate with senior management to develop and maintain a cultural focus on compliance.

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, is an asset.
  • A strong ability to build relationships and 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 essential.
  • 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.

About Neo Financial:

Neo Financial is a rapidly expanding fintech company in Canada, committed to creating a more rewarding financial experience for all Canadians. We're looking for talented individuals who share our passion for innovation and compliance excellence.

What We Offer:

At Neo Financial, we offer a dynamic work environment, competitive compensation, and opportunities for professional growth and development. If you're a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.

  • Senior Compliance Specialist

    3 weeks ago

    Calgary, Alberta, Canada Neo Financial Full time

    Transform Financial Services with Neo FinancialAt Neo Financial, we're revolutionizing the way Canadians manage their finances. As a Senior Compliance Specialist, you'll play a pivotal role in ensuring our operations align with regulatory requirements and industry standards.Key Responsibilities:Develop and maintain in-depth knowledge of federal and...

  • Senior Specialist, Compliance

    4 weeks ago

    Calgary, Alberta, Canada TSX Inc. Full time

    Job SummaryWe are seeking a highly skilled Senior Specialist, Compliance to join our team at TSX Inc. This role will be responsible for ensuring the compliance of our listed issuers with the Exchange's continued listing requirements.Key ResponsibilitiesAnalyze financial and continuous disclosure documentation to identify any non-compliance issues.Work with...

  • Senior Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Neo Financial Full time

    Compliance Specialist Job DescriptionAt Neo Financial, we're seeking a highly skilled Compliance Specialist to join our team in Calgary. As a key member of our compliance team, you'll play a critical role in ensuring our business operations align with regulatory requirements and industry standards.Key Responsibilities:Develop and maintain in-depth knowledge...

  • Senior Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada TSX Inc. Full time

    Job SummaryWe are seeking a highly skilled Senior Specialist, Compliance to join our team at TSX Inc. As a key member of our compliance team, you will be responsible for ensuring that our listed issuers comply with the Exchange's continued listing requirements.Key ResponsibilitiesAnalyze financial and continuous disclosure documentation to identify any...

  • Senior Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Neo Financial Full time

    Transform Financial Services with Neo FinancialWe're on a mission to revolutionize the financial industry, and we need your expertise to make it happen. As a Senior Compliance Specialist at Neo Financial, you'll play a critical role in ensuring our operations align with regulatory requirements and industry standards.Key Responsibilities:Develop and maintain...

  • Senior Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Neo Financial Full time

    Transform Financial Services with Neo FinancialWe're on a mission to revolutionize financial services for Canadians. As a Senior Compliance Specialist, you'll play a critical role in ensuring our operations align with regulatory requirements and industry best practices.Key Responsibilities:Develop and maintain in-depth knowledge of federal and provincial...

  • Senior Regulatory Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Cenovus Full time

    About this opportunity:The Senior Regulatory Compliance Specialist will provide technical and functional leadership in regulatory compliance and assurance for the business unit, coordinating and facilitating audits for various operational scopes. This role will champion the implementation of regulatory processes aligned with the Cenovus Operational Integrity...

  • SOX Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Adecco Canada Full time

    Job Title: SOX Compliance SpecialistAdecco Canada is seeking a skilled SOX Compliance Specialist to join our team. As a key member of our organization, you will be responsible for overseeing and supporting the development, implementation, and maintenance of SOX compliance programs within our client's organization in Calgary, AB.In this role, you will...

  • Senior Corporate Governance and Compliance Specialist

    5 days ago

    Calgary, Alberta, Canada Enerflex Full time

    About the RoleWe are seeking a highly skilled Senior Corporate Governance and Compliance Specialist to join our team at Enerflex. In this role, you will provide critical support in ensuring compliance with applicable securities regulations, maintaining governance best practices, and supporting corporate functions.Key Responsibilities:Supporting Corporate...

  • Compliance Specialist

    3 weeks ago

    Calgary, Alberta, Canada Norton Rose Fulbright Full time

    **Job Description**We are seeking a Compliance Specialist to join our team at Norton Rose Fulbright. This is a remote position based out of any of our Canadian offices, with attendance required in office approximately once a week.The Compliance Specialist will oversee the firm's compliance with applicable rules of professional conduct, regulatory...

  • Senior EHS Specialist

    1 week ago

    Calgary, Alberta, Canada Raytheon Technologies Full time

    About the RoleWe are seeking an experienced Senior EHS Specialist to join our team in Calgary, Alberta. In this critical role, you will be responsible for developing, implementing, and monitoring our Environmental, Health, and Safety (EHS) Program across small sites in Alberta and Ontario.ResponsibilitiesDevelop and maintain a comprehensive understanding of...

  • Regulatory Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Regulatory Compliance SpecialistJob Description: We are seeking a highly skilled Regulatory Compliance Specialist to join our team at beBee Professionals in Calgary. The successful candidate will be responsible for ensuring that our banking activities comply with all applicable laws and regulations. The ideal candidate will have a strong background in...

  • Senior Regulatory Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Cenovus Full time

    About this opportunity:The Senior Regulatory Advisor will provide technical and functional leadership in regulatory compliance and assurance for the business unit, coordinating and facilitating audits for various operational scopes. This role will champion the implementation of regulatory processes aligned with the Cenovus Operational Integrity Management...

  • Senior Compliance Analyst

    1 month ago

    Calgary, Alberta, Canada Alberta Electric System Operator Full time

    About the RoleWe are seeking a Senior Analyst, External Compliance Monitoring – ISO Rules to join our team at the Alberta Electric System Operator. As a senior member, you will be responsible for monitoring and analyzing the compliance of market participants with ISO rules and certain Ancillary Service commitments.Key ResponsibilitiesMonitor and analyze...

  • Compliance Risk Management Specialist

    5 days ago

    Calgary, Alberta, Canada Neo Financial Full time

    About Neo FinancialAt Neo Financial, we're revolutionizing the financial services landscape by providing a more rewarding experience for Canadians.We're a rapidly expanding fintech company that's built incredible traction since our founding in 2019. Our team of high-performing individuals is driven by a shared passion and purpose.Award-Winning...

  • Compliance Specialist

    1 month ago

    Calgary, Alberta, Canada ADP, Inc. Full time

    About ADP, Inc.ADP, Inc. is a leading provider of business outsourcing solutions, with a strong presence in the Canadian market. With over 60 years of experience, we offer a wide range of human resource, payroll, tax, and benefits administration solutions from a single source.The Role/Position:As a Regulatory Compliance Specialist, you will play a critical...

  • Financial Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Job Title: Financial Compliance SpecialistWe are seeking a highly skilled Financial Compliance Specialist to join our team at beBee Professionals in Calgary, AB. The successful candidate will be responsible for ensuring that the company's financial activities are in compliance with applicable laws and regulations.Key Responsibilities:Develop and implement...

  • Regulatory Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Government of Alberta Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at the Government of Alberta. As a key member of our Investigator team, you will play a critical role in ensuring regulatory compliance and supporting high professional standards for law enforcement-based services in Alberta.Key ResponsibilitiesConduct professional...

  • Compliance Specialist for Energy Industry

    4 weeks ago

    Calgary, Alberta, Canada beBee Professionals Full time

    Payroll Compliance Specialist Job OpportunityJob Title: Payroll Compliance Specialist for Energy SectorLocation: Calgary, AlbertaCompany: beBee ProfessionalsWe are seeking a highly skilled Payroll Compliance Specialist to ensure compliance with all applicable payroll regulations and laws. The successful candidate will have a thorough understanding of payroll...

  • Cybersecurity Compliance Specialist

    4 weeks ago

    Calgary, Alberta, Canada Alberta Electric System Operator Full time

    About the RoleWe are seeking a highly skilled Cybersecurity Compliance Specialist to join our team at the Alberta Electric System Operator. As a key member of our Compliance Monitoring Program, you will be responsible for ensuring the efficient and effective execution of compliance monitoring activities related to the Alberta Reliability Standards (ARS).In...