Senior Compliance Associate

Validus Risk Management; Toronto; On-site; CAD 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Analyst to enhance its Legal and Compliance function. This role offers a fantastic opportunity for a driven individual to grow within a dynamic team that bridges finance and technology. You will be pivotal in supporting regulatory compliance, preparing regulatory submissions, and conducting compliance audits. If you are looking to make a significant impact in a growing business and thrive in a fast-paced environment, this position is perfect for you. Join a team where your contributions will be valued and your career can flourish.

Benefits

Competitive Salary

Performance-Based Bonus

Annual Learning and Development Allowance

Qualifications

• 5+ years' experience in Compliance within the financial services industry.
• Strong educational background with a university degree.

Responsibilities

• Support embedding of regulatory compliance requirements across the company.
• Assist in monitoring compliance with regulations in all operational jurisdictions.
• Conduct regular compliance audits and risk assessments.

Skills

Analytical Skills

Communication Skills

Organizational Skills

Report Writing

Time Management

Education

University Degree

Job description

Direct message the job poster from Validus Risk Management

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
  
  
  
  

Requirements

• 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
  
  
  
  

Benefits

• Competitive salary
• Company and personal performance-based bonus paid semi-annually. (Eligibility to join scheme following 6 months service)
• Annual Learning and Development allowance
  
  
  

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

• Industries

  Non-profit Organizations and Primary and Secondary Education

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