Compliance Analyst (Branch Review)

Co-operators • Toronto, ON

1d • Hybrid

About The Position

We are a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. That’s why we prioritize our people, to ensure we provide a strong culture and development opportunities which enables our team to thrive and to live our purpose. The best part is that you will work with people that care passionately about you, our clients, and our communities. As the Compliance Analyst you will support the execution of the CFIS Compliance Branch Review program. You will build partnerships across the organization to strategically identify, test regulatory controls, including presenting findings and recommendations to ensure compliance objectives are met. You enjoy working independently, while contributing to the Team’s overall successful implementation of goals and objectives.

Requirements

• You have three years of mutual fund and/or compliance experience, including two years of experience in audit or a related field.
• You have a post-secondary degree.
• You have completed the applicable securities course(s), including the Canadian Securities Course (CSC), Canadian Investment Funds Course (CIFC), Branch Managers Course (BM), Branch Compliance Officer Course (BCO) or equivalent.
• You have strong knowledge of relevant national instruments, including the CIRO (Canadian Investment Regulatory Organization) requirements and related regulations.

Nice To Haves

• You have an innovative mindset to improve operational efficiencies and ability to influence change, with a primary focus on client needs.
• You use critical thinking skills to validate assumptions, evaluate arguments, draw conclusions, recognize trends and proactively propose solutions.
• You have strong communication skills to clearly convey messages and explore diverse points of view.
• You build trusting relationships and provide guidance to support the development of colleagues.

Responsibilities

• Planning, leading and executing mutual fund distribution reviews and investigations, writing comprehensive reports, and escalating issues to senior management
• Contributing to the branch review program and framework for all regulatory requirements.
• Supporting the creation of procedural documentation and ensuring testing controls are recorded and maintained in a central repository.
• Monitoring compliance activities to identifying gaps, proactively engage with business partners to ensure issues are addressed and escalate any significant breaches.
• Collaborating with business partners to plan and ensure effective implementation of regulatory requirement solutions.
• Training and coaching stakeholder teams to solicit and document branch review requirements, identify business process issues and risks, and investigate and recommend solutions.

Benefits

• Training and development opportunities to grow your career.
• Flexible work options and paid time off to support your personal and family needs.
• A holistic approach to your well-being, with physical and mental health programs and a supportive workplace culture.
• Paid volunteer days to give back to your community.
• In addition to our competitive salary and incentive programs, eligible employees also benefit from a comprehensive total rewards package including group retirement savings plans, pension and benefits (e.g., health and wellness, dental, disability and life coverage), mental health support and an employee assistance program.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree