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

S.i. Systems; Winnipeg; Remote; CAD 45,000 - 70,000; Full time

Job summary

An established industry player is seeking a Jr. Compliance Analyst to support compliance testing for mutual funds. This role involves conducting ongoing analysis, assisting with compliance audits, and ensuring regulatory adherence across various channels. The position offers a unique opportunity to work in a remote setting while contributing to the improvement of the Market Conduct Audit program. Ideal candidates will have a background in compliance, a strong understanding of mutual fund regulations, and proficiency with relevant technology. This is a fantastic chance to grow your career in a dynamic and supportive environment.

Qualifications

• 1-3 years' experience as a Compliance Analyst with a focus on Mutual Fund Compliance.
• Proficiency with technology relevant to compliance testing and audits.

Responsibilities

• Perform analysis to support the Market Conduct Audit program across distribution channels.
• Assist with compliance testing and develop action plan resolutions.

Skills

Compliance Analysis

Mutual Fund Compliance

Compliance Audits

Microsoft Excel

MS SharePoint

Access

Customer Service Workbench (CSW)

Knowledge of MFDA Policies

Understanding of life, health, and wealth product lines

Education

University or college degree related to accounting, business, or compliance

Tools

Microsoft Excel

MS SharePoint

Access

Customer Service Workbench (CSW)

Univeris

Job description

Job Title: Jr. Compliance Analyst

Support compliance testing for mutual funds for a large insurance client.

Roles: Two positions available – one bilingual (French / English) and one English-only.

Duration: End of December (possibility of extension)

Location: Remote

Responsibilities:

• Perform ongoing and periodic analysis to support the Market Conduct Audit (MCA) program across various distribution channels.
• Assist with compliance testing and develop action plan resolutions for mutual funds and insurance.
• Conduct advisor interviews and desk file audits to ensure regulatory compliance.
• Complete location visits for registered advisor business addresses.
• Collect and analyze data pre-audit for Market Conduct Audits.
• Follow up on outstanding audit findings.
• Support the maintenance and continuous improvement of the MCA program.
• Manage inquiries through the centralized team mailbox.
• Assist with other duties and special projects as assigned.

Must-Have Skills:

• 1-3 years' experience as a Compliance Analyst specializing in Mutual Fund Compliance.
• Experience assisting with compliance audits or testing.
• Proficiency with technology: Microsoft Excel, MS SharePoint, Access, Univeris, Customer Service Workbench (CSW).
• Knowledge of MFDA Policies and Bulletins, securities and insurance laws and regulations, with practical application skills.
• Understanding of life, health, and 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.