Compliance Analyst
Typical Day in Role:
• Attend meetings with key stakeholders to discuss changes in regulatory requirements and associated controls
• Brainstorming the appropriateness of controls designed to address regulatory risk
• Determining how controls should be documented and assigned to particular business areas/processes to address identified risks
• Reading summarizing, reviewing regulatory requirements
• Researching and assessing controls already in place and determining how they may require adaptation to meet new/changed regulatory requirements
Candidate Requirements/Must Have Skills:
1)1-2 years of experience with securities regulatory and federal banking requirements, including consumer protection
2)1-2 years of experience in Compliance and audit
3)prior experience in Canadian bank or securities subsidiary (broker dealer, mutual fund dealer), trust or private banking entity
Nice-To-Have Skills:
1) Legal Background
2) project management experience
Soft Skills Required:
• Attention to detail – ability to read and interpret requirements, draft concisely and accurately
• Fast worker, efficient, able to prioritize
Education:
• university degree in finance or business discipline preferred
• industry related courses (Canadian Securities course, financial planning) a bonus but not required