Compliance Analyst - Electronic Communications

TEKsystems • Toronto, ON

2d • CA$40 - CA$45 • Hybrid

About The Position

The Compliance Analyst will review electronic communications flagged by surveillance tools to identify potential breaches of CIRO rules, internal policies, and conduct standards. You will perform initial investigations, document findings, and escalate complex or high‑risk matters to compliance staff. This role requires strong regulatory knowledge, analytical rigor, and excellent written communication. This role supports the tail end of a major initiative to stand up a new electronic communications surveillance program. The team is reducing false positives and refining detection logic, establishing workflows, escalation paths, and documentation standards, and building a sustainable long‑term operating model for communication oversight.

Requirements

• Compliance
• AML
• Email communications
• Communication

Nice To Haves

• Experience at a regulatory body (CIRO, OSC, MFDA, IIROC).
• Experience with Global Relay, Proofpoint, or Behavox.
• Familiarity with conduct risk, complaints handling, or sales supervision.

Responsibilities

• Review electronic communications (email, Teams, LinkedIn, WhatsApp) sent by CIRO‑registered salespeople.
• Analyze alerts generated by email alert tool to identify potential compliance issues.
• Conduct initial investigations to determine whether flagged content represents: Unapproved communication channels, Unkept promises, Unreported complaints, Improper business conduct, Acceptance of client instructions through prohibited channels.
• Document findings clearly and professionally via email.
• Escalate complex or high‑risk matters to senior compliance staff.
• Perform regulatory research to apply CIRO rules accurately.
• Manage a monthly caseload of 600–800 alerts, ensuring timely completion.
• Contribute to the refinement of workflows, tagging logic, and false‑positive reduction.
• Support the broader compliance team with insights, trends, and risk themes.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed