Compliance Analyst

Typical Day in Role
• Reviewing e-comms alerts and determinate next steps
• Support regulatory, operational and legal investigative analysis, leveraging data analytics tools and concepts
• Advising management on needed actions
• Monitor, assess, and communicate regulatory changes and emerging compliance risks and trends to key partners and stakeholders
• Assist business, Compliance, and other control function partners in responding to client escalations by conducting , compiling and presenting research as required

Candidate Requirements/Must Have Skills:
• +5 years of experience as a Compliance Analyst or related field
• Experience with MS Office, Excel (VLOOKUPS), Outlook
• Experience with a Canadian Securities Institute/ Brokerage/ Securities/ Capital markets

Nice-To-Have Skills:
• Previous experience/projects with Communication surveillance
• French is a plus
• FI experience

Soft Skills
• Great communication skills – written & oral
• Customer service
• Team player
• Organized & independent

Education
• Bachelor’s degree or relevant work experience
• Canadian Securities Institute (CSC) certifications is a plus