Tier 2 Compliance Analyst

Sun Life; Waterloo; On-site; CAD 60,000 - 80,000; Full time

Job summary

Join a leading financial firm as a Tier 2 Compliance Analyst. You will be pivotal in supporting compliance efforts by analyzing data, managing compliance projects, and enhancing processes using technology. We seek detail-oriented individuals with strong analytical skills who can thrive in a fast-paced environment.

Benefits

Flexible Benefits

Professional development opportunities

Friendly, collaborative, and inclusive culture

Qualifications

• 2 to 3 years of experience in a financial institution, preferably in mutual funds or investment dealer.
• Proficiency in Excel, SQL, Tableau, PowerPoint, JIRA, and SharePoint.
• Knowledge of compliance and Tier 2 supervision in the financial industry.

Responsibilities

• Analyze large data sets to identify trends, patterns, and compliance issues.
• Manage and lead projects related to technology enhancements.
• Prepare detailed presentations and documentation using PowerPoint.

Skills

Analytical skills

Technical expertise

Attention to detail

Communication skills

Problem-solving skills

Education

Completion of industry education (IFIC, CSI)

Tools

Excel

SQL

Tableau

PowerPoint

JIRA

SharePoint

Job description

Join our team as a Tier 2 Compliance Analyst and contribute to our commitment to regulatory excellence and success.

The Tier 2 Compliance Analyst will play a crucial role in supporting our compliance efforts, reporting directly to the Tier 2 Field Supervision Director. This position requires an individual with strong analytical skills and a high level of technical expertise, including proficiency in Excel, SQL, Tableau, PowerPoint, JIRA, and SharePoint. The ideal candidate will possess a keen attention to detail and the ability to utilize large data sets to identify trends and patterns.

What will you do?

Analyze large data sets to identify trends, patterns, and compliance issues

Develop and maintain compliance reports using Excel, SQL and Tableau

Manage and lead projects related to technology enhancements

Develop and implement technology-driven solutions to enhance compliance processes

Analyze current processes and identify areas for improvement through technology

Prepare detailed presentations and documentation using PowerPoint

Manage and track compliance tasks and projects using JIRA

Utilize SharePoint for document management and collaboration

Collaborate with the Tier 2 Field Supervision Director and other team members to ensure compliance with regulatory requirements

Stay up-to-date with industry regulations and compliance standards

What do you need to succeed?

The incumbent must be able to manage time effectively on multiple concurrent initiatives and cultivate strong working relationships with business partners. In addition to demonstrating a genuine passion for working in teams and delivering first class service, the incumbent must possess the following to be successful in this role

2 to 3 years of experience in a financial institution, preferably in a mutual fund or investment dealer environment

Strong analytical and technical skills, with proficiency in Excel, SQL, Tableau, PowerPoint, JIRA, and SharePoint

Attention to detail and ability to work with large data sets

Knowledge of compliance, Tier 2, or supervision in the financial industry

Excellent communication skills and ability to collaborate effectively with team members

Commitment to success and the ability to work in a fast-paced environment

Ability to identify and mitigate compliance risks

High level of integrity and ethical standards

Strong problem-solving skills and proactive approach to compliance challenges

Adaptability and willingness to learn new technologies and processes

Assets

Completion of industry education (e.g. IFIC (Investment Funds, CSI (CSC & CPH), or equivalent)

Good knowledge of the Investments business operations

Experience working with financial advisors

Financial Management and Reporting Experience

What's in it for you?

Flexible Benefits from the day you join to meet the needs of you and your family

The opportunity to move along a variety of career paths with amazing networking potential

Work and professional development that is united by our Purpose : to help Clients and Employees achieve lifetime financial security and live healthier lives

A friendly, collaborative, and inclusive culture