Senior Compliance Associate

Validus Risk Management Ltd.; Toronto; On-site; CAD 80,000 - 100,000; Full time

Job summary

A leading company in the financial services sector is seeking a full-time Senior Compliance Analyst to enhance its Legal and Compliance function. This role involves ensuring regulatory compliance, preparing submissions to regulators, and contributing to compliance training programs while working within a collaborative team.

Benefits

Performance-based bonus paid semi-annually

Annual Learning and Development allowance

Qualifications

• 5+ years in Compliance within financial services.
• Strong written and spoken English required.
• Ability to work autonomously and in teams.

Responsibilities

• Support compliance embedding and monitoring across the company.
• Assist with regulatory submissions to various authorities.
• Conduct regular compliance audits and risk assessments.

Skills

Analytical skills

Communication skills

Organizational skills

Education

University degree

Job description

We are looking for a full-time Senior Compliance Analyst with experience in the financial services industry to help build and support the Legal and Compliance function at Validus. This position is a great opportunity for an ambitious individual looking to join a growing business and to develop their career within a dynamic team spanning finance and technology.

• Support the embedding of regulatory compliance requirements across the company, ensuring all staff have read, understood, and signed the required compliance documents, policies, and procedures.
• Assist in monitoring the company’s compliance with regulations in all operational jurisdictions and help implement and execute the Compliance Framework and Compliance Monitoring Plan.
• Assist with the preparation and filing of submissions to various regulators (e.g., FCA, NFA, CFTC, OSC, NFSA), ensuring accurate and timely filings.
• Work closely with the Onboarding team to ensure effective ‘Know Your Customer’ checks are completed in accordance with applicable regulations.
• Investigate trade errors and work towards resolution while ensuring adherence to regulatory guidelines.
• Regularly update company policies and procedures to reflect the latest regulatory changes.
• Contribute to the delivery of compliance training programs across the company.
• Contribute to the preparation of reports for management and the Board on compliance matters, highlighting key compliance risks and issues.
• Conduct regular compliance audits and risk assessments to identify vulnerabilities and recommend improvements.
• Advise the General Counsel and Head of Compliance on regulatory developments and their potential impact on the business.
• Assist with managing relationships with external regulators and compliance advisors, ensuring ongoing communication and collaboration
• Strong educational background with a university degree.
• Highly organised, reliable, able to meet deadlines, self-motivated with the capacity to work autonomously, as part of a team and across teams.
• Able to work off own initiative and feel comfortable putting together board and senior management level presentations.
• Strong analytical skills.
• Strong communication and inter-personal skills with commercial awareness.
• Strong report writing skills and attention to detail.
• Strong time management and organisational skills, and ability to prioritise and multi-task and work within tight deadlines.
• High standard of written and spoken English required to communicate effectively to stakeholders at all levels.
• At least 5+ years’ experience in Compliance within the financial services industry
• Company and personal performance-based bonus paid semi-annually. (Eligibility to join scheme following 6 months service)
• Annual Learning and Development allowance.

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