Analyst, Compliance

Venture outside the ordinary - TMX Careers

The TMX group of companies includes leading global exchanges such as the Toronto Stock Exchange, Montreal Exchange, and numerous innovative organizations enhancing capital markets. United as a global team, we're connecting cross-functionally, traversing industries and geographies, moving opportunity into action, advancing global economic growth, and propelling progress. Through a rich exchange of ideas, meaningful collaboration, and a nimble operating model, we're powering some of the nation's most critical systems, fueling capital formation and innovation, bringing increased opportunity to business visionaries, product ingenuity to consumers, and career exploration to our team.

Ready to be part of the action?

The Analyst, Compliance will be assisting in the management of the Compliance programs essential to a federally regulated Trust company that provides transfer agency and corporate trust services, including promoting an understanding of new and existing compliance issues and related policies.

Lead day-to-day Compliance administrative and project support as required, including aggregating reporting, assisting with the build or revisions to documentation or reports/dashboards, etc.

This role reports to: Chief Compliance Officer of TSX Trust Company

This role is hybrid days/week in the office) - based in Toronto, ON.

Key Accountabilities:

• Manage monthly governance meetings with the Business Units/Functional Areas
• Monitor and manage privacy breaches and unusual transaction reports
• Support the AML/ATF program by assisting with AML KYC (onboarding and periodic reviews) and with AML alerts
• Support the Compliance team on the execution of compliance assessments and overall Regulatory Compliance Management program
• Assist with maintaining materiality and risk assessment methodology and conducting assessments in review of any new or modified outsourcing arrangements
• Provide guidance and assist in the identification, implementation, and maintenance of the company's privacy policies and procedures.
• Assist in coordinating responses to information requests and provide information to regulators
• Assist in tracking and monitoring the completion of action plans to address any identified issues
• Participate in special projects, or investigations
• Assist in monitoring the performance of compliance programs and related activities on a continuing basis, taking appropriate steps to improve their effectiveness
• Acting as a central point of contact, overseeing centralized email boxes

Must have(s):

• Undergraduate degree, preferably in business, finance or law
• Experience or formal training in related fields, such as AML training or certifications
• Solid understanding of applicable legislation including but not limited to Anti-Money Laundering, Privacy, OSFI Guidelines and related best practices
• 2 to 4 years experience in compliance or in a risk and control function/role
• Proven track record in balancing competing priorities
• Ability to apply judgment in decision-making without complete information
• Capacity for detail, critical thinking and decision making skill
• Strong presentation, written and verbal communication skills
• Strong interpersonal skills with the ability to work in a team environment and interact across all leadership levels and with participant organizations and regulatory bodies
• Excellent process & project management skills

In the market for…

Excitement - Explore emerging technology and innovation, as well as ventures and digital finance that shape the future of global markets Experience the movement of the market while grounded in the stability of close to 200 years of success.

Connection - With site hubs in some of the world's most multicultural cities, we leverage our size and structure to create rich connections and belonging while experiencing powerful global impact through our work.

Impact - More than a platform, we use our talents to power mission-critical systems that drive global economic advancement, innovation, and growth. As well, our employee-led Team Impact spreads social good via our giving strategy.

Wellness - From empathetic leadership to a culture of flexibility and balance, we believe wellness at work creates the maximum yield and a stronger "we". Plus, with a cloud-first and hybrid workstyle, as well as generous time-off and leaves, we support a life well lived

Growth - From a growth mindset in our work, to expansion in our business, TMX is home to action-takers energized by the achievement of ambitious growth.

Ready to enrich your career with impactful work, leaders who truly care, and the flexibility and programs to help you thrive as part of #TeamTMX ? Apply now.

Please note that our company is not currently sponsoring work permit applications and the applicant must be authorized to work in the country where this position is located.

TMX is committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide accommodations for applicants and employees who require it.