Senior Compliance Analyst

Wellington-Altus•Toronto, ON

2d•CA$60,000 - CA$75,000•Onsite

About The Position

Reporting to the Senior Manager, Compliance, the Senior Compliance Analyst will be responsible for completing Tier 2 supervisor functions, in addition to other Compliance Analyst functions as assigned. Daily tasks will vary and will look to provide holistic compliance supervision support, which may a review of Tier 2 daily, monthly, and quarterly trading, email/social media surveillance. The Senior Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.

Requirements

Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
A minimum of 2-5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals.
Strong attention to detail.
Excellent attitude and commitment to providing exceptional service.
Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
Strong problem-solving and critical thinking abilities.
Highly organized with a consistent and reliable work ethic.
Comfortable with ambiguity and able to manage a high volume of competing priorities.
Maintains the highest level of confidentiality.
Must be legally eligible to work in Canada.

Nice To Haves

Experience in a Tier 2 supervisory role is a strong asset
Experience in wealth management or other regulated industry is a strong asset.
Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.

Responsibilities

Monitor email communications and social media for regulator risks to identify red flags or unusual activity.
Perform Tier 2 supervision duties assigned, which may include more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process.
Improve, develop, and maintain Tier 2 processes and workflows.
Assist with training and provide support to analysts and newly onboard team members on protocols and procedures.
Provide guidance and support to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations.
Assist with resolving compliance-related issues.
Serve as a trusted resource for addressing inquiries related to firm policies, business practices and regulatory interpretations.
Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
Participate in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes.
Support external regulatory reviews by preparing documentation, responding to requests and assisting in implementing follow-up actions or remediation.
Maintain a current understanding of the firm’s internal policies and procedures, as well as applicable industry regulations and compliance trends.
Stay informed about regulatory changes and participate in training sessions or industry forums as appropriate.
Participating in other compliance and supervision-related projects and initiatives as assigned.