Compliance Specialist

4 weeks ago


Calgary, Alberta, Canada Disability Solutions Full time
Compliance Analyst Job Description

We are seeking a detail-oriented Compliance Analyst to provide analytical and administrative support to our Compliance team. In this role, you will ensure critical functions for regulatory and reporting requirements are adhered to, and responsible for providing support in KYC reviews and account opening supervision.

Key Responsibilities:
  • Review and approve KYC updates and AML risk assessments
  • Provide support for the timely turnaround of account opening approvals
  • Conduct monthly and quarterly reporting analysis such as AML large transaction and sanctions reporting
  • Provide reporting of KYC updates to the Client facing team and conduct monitoring
  • Conduct monthly account statement reviews of access persons
  • Monitor employees' adherence to the social media policy
  • Identify, recommend and implement process improvement opportunities for reporting, analysis and control
  • Support the continued development and maintenance of compliance procedures
  • Participate in broader compliance initiatives and projects
Requirements:
  • Post-secondary diploma or degree in a related field, and/or equivalent experience
  • Relevant industry accreditations such as completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH) would be an asset
  • 1+ year of related experience, preferably within an asset management firm
  • Demonstrated knowledge and understanding of securities regulatory requirements and compliance functions
  • Proficient in MS Office, with aptitude to quickly master our operations and compliance software
Why Work with Us?

We offer a comprehensive benefits package, including hybrid work environments, everyday flexibility, company-funded health coverage, and generous time-away options. Our commitment to employee development and inclusion makes us an attractive employer for those seeking a fulfilling career in compliance.


  • 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...


  • 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...

  • 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...


  • 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...


  • 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...


  • 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...


  • 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...


  • Calgary, Alberta, Canada WEST Inc Full time

    Job Title: Regulatory Compliance SpecialistThe Regulatory Compliance Specialist at WEST Inc. will be responsible for ensuring compliance with environmental regulations and laws related to renewable energy projects. This includes reviewing and analyzing data, conducting field studies, and communicating with clients and stakeholders.Key Responsibilities:Design...


  • 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...


  • Calgary, Alberta, Canada Government of Alberta Full time

    Job DescriptionWe are seeking a highly skilled Care Standards Compliance Specialist to join our team at the Government of Alberta.Key Responsibilities:Conduct thorough audits and on-site inspections in publicly funded continuing care settings to ensure compliance with provincial standards, regulations, and associated standards.Investigate complaints and...


  • Calgary, Alberta, Canada beBee Professionals Full time

    Job Title: Payroll Compliance Specialist for Energy SectorLocation: Calgary, AlbertaCompany: beBee ProfessionalsJob Description:We are seeking an experienced Payroll Compliance Specialist to ensure compliance with all applicable payroll regulations and laws. The successful candidate will provide support to the payroll team and have a thorough understanding...

  • Compliance Officer

    1 month ago


    Calgary, Alberta, Canada beBee Professionals Full time

    Job Title: Ethics and Compliance SpecialistLocation: Calgary, ABCompany: beBee ProfessionalsJob Description:beBee Professionals is seeking an experienced Ethics and Compliance Specialist to join our team in Calgary, AB. The successful candidate will be responsible for developing, implementing, and monitoring the company's compliance program to ensure...


  • 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...


  • 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...


  • Calgary, Alberta, Canada Government of Alberta Full time

    Role OverviewThe Government of Alberta is seeking a skilled Software License Compliance Specialist to join our team. In this role, you will be responsible for ensuring compliance with software licensing agreements and policies.Key ResponsibilitiesConduct thorough research and analysis to identify and evaluate options for software licensing.Develop and...


  • Calgary, Alberta, Canada Plains Midstream Canada ULC Full time

    Job Title: Environmental Compliance SpecialistPlains Midstream Canada ULC is seeking a highly motivated and detail-oriented Environmental Compliance Specialist to join our team in Calgary or Sherwood Park. As a key member of our Environment team, you will play a critical role in supporting our environmental compliance needs through the implementation and...


  • Calgary, Alberta, Canada destinationone Consulting Full time

    Job OverviewAt destinationone Consulting, we are seeking a highly skilled Code Compliance Specialist to join our team. As a key member of our organization, you will be responsible for enforcing local codes and regulations related to property maintenance, land use, and zoning.About the RoleInspect properties and sites to ensure compliance with local building...


  • 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...


  • Calgary, Alberta, Canada Adecco Canada Full time

    Job Title: SOX Compliance and Advisory SpecialistJob Type: Full-timeLocation: Calgary, ABAt Adecco Canada, we are seeking a highly skilled SOX Compliance and Advisory 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...


  • Calgary, Alberta, Canada Neo Financial Full time

    Transforming Financial Services with Compliance ExpertiseAt 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...