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Compliance Administrator
2 weeks ago
FNF Canada is a leading service provider to financial institutions around mortgage processing, tax and appraisal services, and Chicago Title Insurance Company - Canada Branch is an industry leader in title insurance solutions, customer service, and real estate technology. We pride ourselves on our relentless focus on enhancing the value of our services to our clients through continuous improvement and innovation. Reporting to the Vice President, Legal & Compliance and Chief Agent, we are seeking a highly motivated, multitasking-oriented, and computer-proficient individual to join our team We are looking for a highly motivated **Compliance Administrator** to ensure that our organization operates in accordance with applicable provincial and federal statutes and regulations, as well as established internal policies and guidelines.
**Primary Responsibilities**:
- Attend to applicable periodic filings specific to a Canadian corporation (i.e. business corporation filings) and those of the Chief Agent of a regulated insurance company including OSFI specific matters and any provincial market conduct matters.
- Ensuring compliance: Ensuring that an organization follows internal best practices and regulatory statutes i.e. review of OSFI issued policy/guideline releases and adherence thereto.
- Monitoring policies: Analyzing and monitoring existing policies and procedures to ensure they align with industry or internal standards i.e. filing and reporting requirements of FINTRAC as a Money Services Business and the Bank of Canada as a Payment Service Provider under the Retail Payment Activities Act.
- Researching laws and regulations: Monitoring for new laws and regulations, or changes to existing ones.
- Training employees: Training employees and management on regulations and practices. Investigating failures: Investigating regulatory failures.
- Updating procedures: Suggesting and updating internal procedures. Maintaining contracts: Monitoring contracts for compliance with industry standards and guidelines, as well as appropriate contract terms.
- Regulatory gap assessment and implementation: Implement new risk and regulatory requirements by performing gap assessments, building roadmaps, and translating risk or regulatory requirements into business needs. Support with implementing and embedding of identified gaps.
- Risk assessment: Lead campaigns to identify and assess risks, propose mitigating actions and risk monitoring approaches, report results to entity’s senior management.
- Internal Controls: Improve the design of internal controls and monitor their effective implementation, using notably Canadian specific standards and best market practices. For example, FINTRAC reporting requirements as a Money Service Business under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and those as a Payment Service Provider under the Retail Payment Activities Act (RPAA) administered by the Bank of Canada.
- Regulatory watch: Update existing processes and administer a regulatory monitoring program to ensure ongoing compliance with regulations, including those applicable to OSFI, PCMLTFA, RPAA and market conduct requirements.
- Customer Due Diligence Assessments: Point of contact for the intake of customer questionnaires specific to services we provide to them and their assessment of it from a risk management/compliance perspective. Manage completion of the assessments by informing applicable internal stakeholders to provide their input and work towards submission within specified timelines.
- Lead projects and advise: Organize workshops to identify pain points, conduct analysis, prepare reports and propose remediation's. Assist the Vice President, Legal & Compliance in establishing and putting compliance policies and procedures into effect.
- Risk culture: Help to foster risk and compliance culture within the organization (workshops, awareness campaigns, training)
- Privacy Incident Management: Manage and track privacy incidents and assist with analysis and resolution in accordance with company privacy program.
- Audit: Participate in audits to ensure compliance with industry responsibilities and appropriate record keeping. Provide support to assist with remediation as needed.
- Complaint Management: Manage complaints in accordance with the company complaint policy and procedures. Liaise with complainants in a sensitive and constructive manner to minimize further issues. Present a summary of complaints received and resolution steps to applicable business unit manager and, where necessary legal. Engage with internal colleagues to gather information required to fully investigate and facilitate resolution of the matters involved.
- Project Management: Participate in projects pertaining to risk management and compliance programs as required.
**Qualifications**:
- Minimum of 3-5 years in the financial services industry.
- At least 2 years in a regulatory compliance role strongly preferred.
- Ideal
