Compliance Analyst

2 weeks ago

Greater Toronto Area, Canada IFG - International Financial Group Full time

Our client, a top banking client in Canada is looking to hire Compliance Analyst – 2 for their team with a contract for 3 Months with potential extension. Hybrid – 2 days/week in Toronto Office (Tuesdays and Thursdays)


Typical Day in Role

  • Accountable for executing Testing for Canadian Banking and Canadian Wealth Management, which includes assessing the design and operating effectiveness of compliance controls, and adherence to Regulatory requirements as well as Bank’s internal standards, policies and procedures
  • Ensure accurate and complete documentation of testing results, in accordance with the Global Testing Operating procedures and Issue Management Procedures, and to support our assessments
  • Works closely with the Sr. Manager - Testing, along with other Compliance partners to develop, support and execute the testing program
  • Maintain relationship with the Business Line Compliance, Internal Audit and first line to ensure alignment and smooth execution of test plans, to minimize the impact on business.
  • Contribute to continuous improvement of the testing program by providing feedback on enhancements to the testing methodology (which includes risk prioritized assessments, testing cycles, reporting results and more), looking for opportunities to automate testing procedures, use data analytics, etc.
  • Validate actions taken by management to remediate, and to assess the sustainability of these actions to close, reported testing issues.
  • Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Demonstrates quick learning curve to understand applicable regulatory requirements, business processes and systems.
  • Actively pursues effective and efficient operations of their respective areas in accordance with bank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.


Candidate Requirements/Must Have Skills:

  • 2-4 years of relevant experience in the financial services industry preferably within a regulatory compliance, audit or risk management roles.
  • 2- 4 years of experience working with of risk & controls – particularly controls testing methodology and related tools
  • Knowledge of regulatory, compliance and industry requirements; including knowledge of related issues facing the business lines within Canadian Banking and Canadian Wealth Management
  • Good Project Management skills


Education:

  • Bachelor’s degree in Business or another related field.

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