Compliance Specialist (Operations) (Langley Head Office)

Envision Financial; Kelowna; On-site; CAD 60,000 - 80,000; Full time

Job summary

A leading financial organization seeks a Compliance Specialist (Operations) responsible for providing analytical services related to user access systems and cash management. The role involves ensuring compliance while mitigating risks, performing audits, and developing effective processes for system access and reporting.

Qualifications

• Diploma in a related discipline required.
• 4 years of related experience required.
• Demonstrated understanding of risk ownership.

Responsibilities

• Ensures risk is mitigated and business needs are supported.
• Conducts user access audits/compliance assessments.
• Develops processes for generating metrics and reports.

Skills

Interpersonal skills

Communication skills

Organizational skills

Risk management

Education

College, Trade or Tech School Diploma

Tools

MS Office

Job description

We are currently seeking a Compliance Specialist (Operations) to join our team.

The Compliance Specialist (Ops) is responsible to provide advice, support and analytical services related to user access systems, cash management and compliance to FW divisional business lines and to functional areas within the Operations department. Responsibilities include : ensuring risk is mitigated and business needs are supported; providing awareness of current and potential risks; develops and maintains a user access matrix that provides a clear understanding of risk.

Here’s what would be included as a part of your typical day

• Business Systems : Collaborates with key stakeholders to provide guidance and obtain approval on new requests or changes to system access; works to meet changing business access and compliance needs while ensuring a balance between efficiency and risk mitigation; performs user access audits / compliance assessments to ensure risk mitigation is current and effective; develops and maintains access matrix within and across systems to raise awareness of risk and improve decision making on potential changes being considered; and develops functional guidelines for system users.
• Cash Management : Ensures effective processes and controls are in place and adhered to, related to management of cash within FW’s retail branch system; develops and maintains annual cash management e-learning module.
• Operations Auditing : Provides support to functional areas within the Operations department to ensure processes and procedures are compliant with policies, legislation and regulatory requirement and effectively mitigate risk to FW; and provides advice or recommends changes to processes and controls when appropriate.
• Compliance : Completes system-based analysis to generate metrics, statistics and reports to assist with decision making related to system needs; liaises with internal and external stakeholders to provide “super-user” perspective on system access and compliance matters; provides access and compliance analytics to address business needs, audit requirements and risk mitigation for cash management and system access.
• Reporting : Develops and implements processes for generating metrics, statistics and reports to identify and address system access needs and issues; ensures appropriate reports and data is provided to satisfy audit requirements; and provides internal / external auditors with data or answers to questions to satisfy audit requirements .

Required Skills, Experience & Qualifications

College, Trade or Tech School Diploma (2 years) in related discipline required

4 years related experience required

Ability to work independently, as well as collaboratively in a team environment

Proficient interpersonal and communication skills, both verbally and in writing

Proven organizational skills, including balancing multiple responsibilities and effectively meeting deadlines

Proficient with computer software applications . MS Office

Basic knowledge of project management

Displays an understanding of risk and risk ownership by being able to demonstrate adherence to policies and procedures.