Jr. Compliance Analyst to support compliance testing for mutual funds for a large insurance cli[...]

S.i. Systems; Edmonton; Remote; CAD 50,000 - 70,000; Full time

Job summary

A leading company is seeking a Jr. Compliance Analyst to support compliance testing for mutual funds for a large insurance client. The role involves assisting with audits, compliance testing, and improving audit programs. Candidates must have 1-3 years of experience and proficiency in relevant technologies. Bilingual candidates are preferred, with remote work options available.

Qualifications

• 1-3 years’ experience as a Compliance Analyst working with Mutual Fund Compliance.
• High proficiency with technology.
• Knowledge of MFDA Policies, Securities, and Insurance laws.

Responsibilities

• Assist with Market Conduct Audits including advisor interviews and desk file audits.
• Conduct pre-audit data collection and analysis.
• Support ongoing compliance and action plan resolutions.

Skills

Compliance Testing

Mutual Fund Compliance

Microsoft Excel

Customer Service

Technology Proficiency

Education

University or College degree related to accounting, business or compliance

Tools

Microsoft Sharepoint

Access

Univeris

Job description

Jr. Compliance Analyst to support compliance testing for mutual funds for a large insurance client -

2 Roles - 1 Bilingual (French / English) and 1 English Only

Duration : End of Dec (possibility of extension)

Location : Remote

Branch Examiner is responsible for performing ongoing and periodic analysis and supporting the Market Conduct Audit (MCA) program for various distribution channels. The incumbent will assist with compliance testing, and action plan resolutions for mutual fund and insurance.

Must Have Skills :

• 1-3 years’ experience as a Compliance Analyst working with Mutual Fund Compliance
• Experience assisting with compliance audits or tests
• High proficiency with technology : Microsoft Excel, MS Sharepoint, Access, Univeris, Customer Service Workbench (CSW)
• Knowledge of MFDA Policiesand Bulletins, Securities and Insurance laws and regulations, and the ability to apply these in practical situations
• Knowledge of life / health / wealth product lines

Nice To Have Skills :

• University or College degree related to accounting, business or compliance
• Understanding of commission arrangements, advisor contracts and the code of business practice for advisors
• Successful completion of IFIC Course
• Successful completion of LLQP Course

Job Description :

• Assist with execution of Market Conduct Audits, including conducting advisor interviews and desk file audits against mutual fund and life & health insurance regulatory requirements, and dealer policies and procedures
• Completing location visits for registered advisor business addresses
• Conduct pre-audit data collection and analysis for Market Conduct Audits
• Actively follow up on outstanding audit findings
• Support the maintenance and continuous improvement of the Market Conduct Audit program
• Assist with daily review of the centralized team mailbox to address inquiries
• Perform other duties and special projects as assigned time to time

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