Compliance Analyst, Group Audit

Wellington-Altus•Calgary, AB

1d•CA$52,000 - CA$68,000•Hybrid

About The Position

Reporting to the Associate Vice-President, Group Audit and Conduct, the Compliance Analyst, Group Audit, will conduct the Compliance Audit Review Program for the entirety of all WAFI subsidiaries. The role requires an analytical mindset with exceptional attention to detail, experience in the financial services industry, and familiarity with investment products and services; knowledge of CIRO/IIROC regulations and industry best practices is considered an asset.

Requirements

Bachelor’s degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
Completion of CSC, CPH or CIRE preferred.
Experience in the financial services industry.
2-3 years’ financial services industry experience working in a high-growth environment.
Proficiency with the MS Office (ie. Word, Excel, PowerPoint, Teams), and knowledge of advanced Excel functions (ie. VLOOKUP, pivot tables, etc.).
Demonstrated analytical, organizational, and problem-solving skills.
Ability to work independently with minimal supervision and collaboratively as part of a team.
Strong organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information.
Ability to build and maintain professional relationships (e.g., with advisors and other compliance staff).
Excellent verbal and written communication skills.
Strong attention to detail and ability to identify and escalate issues promptly.
Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm.
Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.

Nice To Haves

Knowledge of CIRO/IIROC regulations and industry best practices is considered an asset.

Responsibilities

Conducting comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
Preparing audit reports in a timely manner following the completion of branch audits.
Supporting the collection of data for compliance-related and/or regulatory requests.
Preparing reports, as requested, for use by the Compliance department.
Scheduling interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
Fostering strong relationships with advisors during the branch audit process.
Identifying trends or key risks/themes for training or recommendations for policy changes.
Remaining informed of regulatory developments and changes to internal policies and procedures.
Participating in other compliance and supervision-related projects and initiatives as assigned.
Assisting in implementing new processes or amending current ones to ensure regulatory requirements are met.
Performing other duties as assigned.