Compliance Analyst
Typical Day in Role:
Manages Organizational Change
•Together with the Senior Manager, supports the development of comprehensive records inventories for each Canadian Wealth Business Unit including initial and ongoing communications and socialization of the processes involved in conducting a records inventory.
•Establishes relationships with key stakeholders within the business to facilitate the execution of a records inventory.
Manages Operations
•Together with the Senior Manager, is responsible for working with key business stakeholders to identify all records required to satisfy regulatory obligations for a given business unit and to document the results within a comprehensive records inventory.
•Together with the Senior Manager, develops a project plan, timelines, and schedule for conducting record inventories for all Canadian Wealth Business Units.
•Together with the Senior Manager, provides status reporting to track the progress and completion of records inventories
•Provides input RE the effectiveness of existing processes for conducting record inventories and makes recommendations for improvements
Manages Compliance
•Together with the Senior Manager, ensures execution of the records inventories are aligned to the Enterprise Records Management Policy
•Together with the Senior Manager, identifies risks and escalates identified issues where appropriate to the Director Records & Information Management.
•Together with the Senior Manager, effectively manages the interests and input of all stakeholders and builds a collaborative working relationship across GWM and Enterprise.
Supporting Strategy and Policy
•Maintains awareness of the GWM RIM strategy and educates staff on records and information management policies and practices as a vital business function
•Provides SME input into the development of GWM RIM specific procedures
Supporting Other Projects as Required
•Offers support to ongoing and additional projects within the GWM RIM team as required
Candidate Requirements/Must Have Skills:
1) 5+ years’ experience working on projects involving implementation of new processes that involve organizational change within FI specifically Wealth Management
2) Good knowledge of regulatory rule/obligations applicable to the Wealth Management Businesses (e.g., MFDA, IIROC, OSC, etc.)
3) Experience facilitating working sessions with key stakeholders
4) Good working knowledge of Microsoft Excel, PowerPoint, and Word
5) Experience managing relationships with internal stakeholders and third-party vendors
Nice-To-Have Skills:
1)Experience in the records and information management field
Soft Skills Required:
1) Excellent written and verbal communication skills required to prepare communications and interact effectively with GWM stakeholders
2) Excellent organizational skills and ability to work in a fast-paced environment
Education:
•Undergraduate degree required