Compliance Analyst

3 weeks ago

Toronto, Canada Momentum Financial Services Group Full time
Job Description

Job Description

Candidates must reside in the GTA area to be considered for this role as they will be required to be in the office 3 days a week at the Toronto Corporate Office (located in downtown Toronto).

We are seeking a Compliance Analyst to join our Compliance team. The successful candidate will be a key member of our growing Compliance team. The successful candidate will partner with various business stakeholders to help manage regulatory risk within the organization. 

Key Responsibilities

  • Serve as the point of contact on the Compliance team to assist in the management of escalated customer complaints related to compliance matters.
  • Conduct thorough investigations into the root causes of complaints, identifying trends and areas for improvement to prevent future occurrences.
  • Collaborate with business stakeholders, to address complex complaints and mitigate potential risks.
  • Assist with management and oversight of employee training on compliance matters.
  • Serve as the point of contact for regulatory agencies and other third-party stakeholders for compliance related exams and reviews.
  • Gather and prepare documentation and responses as required, including coordinating responses from other departments.
  • Assist with implementation of corrective actions and recommendations resulting from regulatory examinations and other reviews.
  • Work on other assignments and projects as requested.

Qualifications

Skills and Qualifications

  • University education or equivalent
  • At least 3 years of relevant work in the financial services industry
  • Experience with complaint management, regulatory exams/audit management and project management is preferred
  • Strong organizational, communication and project management skills
  • Ability to maintain discretion when handling sensitive matters and information


Additional Information

All your information will be kept confidential according to EEO guidelines.

*Notice to Ontario Applicants – Momentum Financial Services Group is committed to accommodating applicants with disabilities up to the point of undue hardship during the recruitment, assessment, and selection process. If you are selected for an interview, please notify Momentum Financial Services Group if you require accommodation in respect of the materials or procedures used at any time during this process. If you require accommodation, we will work with you to determine how to meet your needs.

Note to Internal Applicants: All internal applicants are required to notify current manager regarding interest in applying for this role.

  • Compliance Analyst

    4 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As

  • Compliance Analyst

    4 days ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Job Title: Compliance AnalystLocation: Toronto, CanadaCompany: beBee ProfessionalsJob Description:We are looking for a Compliance Analyst to join our team at beBee Professionals in Toronto. The Compliance Analyst will be responsible for ensuring that the company is compliant with all applicable laws and regulations. The successful candidate will be expected...

  • Compliance Analyst

    2 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 days ago

    Toronto, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    5 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    5 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    6 days ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • IT Compliance Analyst

    5 hours ago

    Toronto, Canada nnovativ inc Full time

    **nnovativ** provides technology staffing and Digital Transformation Services for private and public sector organizations. We are currently seeking a IT Compliance Analyst for our Private Sector client. We value our professionals by providing comprehensive benefits and the opportunity for growth. This is a 12 month contract position with a possibility of...

  • Compliance Analyst

    1 week ago

    Toronto, Canada Pala Interactive Full time

    **Pala Interactive** is a full-service, real-money and social gaming technology provider and operator. Pala offer a full spectrum of games across all distribution channels (web, download, tablet & smartphone) which include casino, poker and bingo for real money and social gaming. **Overview** Pala Interactive is looking for a Compliance Analyst to work in...

  • Compliance Analyst

    2 months ago

    Toronto, Canada Morningstar Full time

    To support its Global Compliance Program, DBRS is seeking a Compliance Analyst in its Toronto Office. The Compliance Analyst is an integral part of the Compliance Program that addresses how the firm manages conflicts of interest. This role will be part of the Global Conflicts of Interest team - with global head based in London and other team members based in...

  • Compliance Analyst

    4 days ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    4 days ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst, Aml

    3 weeks ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping Canadians become much more financially successful and secure. We are everything a traditional financial institution is not. Our vision is to revolutionize financial services for the benefit of Canadians by providing the most innovative and cost efficient financial services online. That’s...

  • Compliance Analyst

    5 days ago

    Toronto, Ontario, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    1 week ago

    Toronto, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

  • Compliance Analyst @toronto, On

    5 days ago

    Toronto, Canada Atlantis IT group Full time

    **Role: Complaince Analyst** **Location: Toronto, ON** **Duration: Long term** **Description**: Organization NextGen environment is currently looking for a Compliance Analyst/Engineer for our SOC2 Certifications (Type 1 and 2) for our Service Offerings. NextGen Cloud provides a highly secure platform which provides differentiation across a Global platform...

  • Compliance Analyst/Officer

    2 months ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Analyst/Officer

    3 weeks ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Amex Full time

    You Lead the Way. We’ve Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a...

  • Compliance Analyst, Monitoring

    4 days ago

    Toronto, Ontario, Canada S I Systems Full time

    Intermediate AML Analyst to conduct compliance investigations and transaction monitoring for a large banking client Our large banking client is looking for an Intermediate AML Analyst to conduct compliance investigations and transaction monitoring. Please note This role is a hybrid working model with 4 days in the office, located downtown Toronto. 3+...