Compliance Analyst, Intermediate

SGF Global; Ontario; On-site; CAD 50,000 - 80,000; Full time

Job summary

An established industry player is seeking a dedicated Compliance Analyst to ensure adherence to regulatory standards and enhance compliance policies. This role involves developing training content, managing audits, and responding to client complaints. The ideal candidate will be detail-oriented, possess strong organizational skills, and be proficient in Microsoft Office. Join a dynamic team where your contributions will directly impact compliance practices and foster a culture of integrity and accountability. If you're passionate about compliance and ready to make a difference, this opportunity is for you.

Qualifications

• Post-secondary education or equivalent experience required.
• Knowledge of industry practices, techniques, and standards is essential.

Responsibilities

• Key liaison for regulatory audits and preparation of audit requirements.
• Develop compliance training content and conduct training sessions.
• Research and analyze regulatory requirements impacting the organization.

Skills

Regulatory Compliance

Policy Development

Training Development

Client Complaint Handling

Microsoft Office Suite

Attention to Detail

Communication Skills

Education

Post-Secondary Education

Investment Funds of Canada Course (IFIC)

Canadian Securities Course (CSC)

Life License Qualification Program (LLQP)

Tools

Adobe

Job description

Job Description : Responsible for maintaining Compliance policies and procedures, responding to client complaints, regulatory inquiries and conducting investigations. Develops policy and training content to support Compliance and licensed agents / representatives. Prepares reports that identify statistics, trends for internal and external stakeholders.

Responsibilities

• Key liaison for regulatory audits – preparation and coordination of audit requirements (i.e. reports), management of audit responses / action plan, maintenance of all audit items. Revision of policies and procedures on required amendments and enhancements.
• Assist in the development, maintenance and implementation of policies and procedures. Key contact responsible for maintaining policy and procedure manuals.
• Provide recommendations for the enhancement / clarification of compliance policies, procedures.
• Prepare compliance training content for agents / representatives.
• Conduct training for agents / representatives.
• Develop and distribute compliance bulletins / communications to field agents / reps and internal departments.
• Handle assigned compliance projects; align with business needs and in accordance with regulatory developments.
• Respond and investigate client complaints and regulatory investigations.
• Prepare and present investigation reports and cases to internal and external stakeholders
• Escalate issues to management, as appropriate.
• Research, analyze and interpret current, new and proposed regulatory requirements to determine impact to organization (e.g. statutes, regulations, bulletins).

Qualifications

• Post-Secondary education or equivalent experience.
• Successful completion or in the process of completing the Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC) or the Life License Qualification Program (LLQP)
• Frequent use and general knowledge of industry practices, techniques and standards.
• Ability to coordinate and prioritize multiple projects in a fast-paced environment.
• Attention to detail and accuracy.
• Organizational and communication skills.
• Results driven and customer focused.
• Proficient with Microsoft Office Suite and Adobe.

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Compliance Analyst • Ontario, ON, Canada