Systems Analyst

Wellington-Altus•Calgary, AB

19d•CA$50,000 - CA$60,000•Hybrid

About The Position

Reporting to the AVP, Supervision, the Compliance, Systems Analyst, will be the systems expert for the Compliance Team supporting their tools, including those used for communications monitoring (email/social/text), trading supervision and internal databases. This position will play a critical role in ensuring that the organization adheres to all regulatory requirements and internal policies. This position will analyze and support Compliance’s systems through change management, day to day support and implementation. This position will also be responsible for managing compliance-related data, identifying potential risks, and developing strategies to mitigate those risks. This position will help shape the compliance tools and ensure that the organization operates within the boundaries of applicable regulations.

Requirements

Minimum 2 years, up to 5 years (preferred) of progressive experience with CIRO Dealer Member or bank
Knowledge of the financial services industry, CIRO and provincial securities regulators.
Proficiency in analysis tools and software (e.g., Power BI).
Proficiency with the MSOffice suite, including Word, PowerPoint, Teams & Outlook.
Familiar with compliance systems and tools for supervision & communications monitoring.
Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
Strong organizational skills, and attention to detail with the ability to prioritize effectively and handle multiple tasks in a high-volume, fast-paced work environment.
Strong written and verbal communication skills, with the ability to communicate effectively with both Advisors and Corporate staff.
Strong analytical, problem-solving skills, and demonstrating sound professional judgement with an ability to collaborate.
Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
Strong critical thinking and written and verbal communication skills.
An ability to maintain the highest levels of confidentiality.
Must be legally eligible to work in Canada.

Nice To Haves

Bachelor’s degree in business administration, Finance, Accounting, or a related field would be an asset.
Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.
Experience in wealth management or other regulated industry is a strong asset.
Experience with data analysis and risk management is highly desirable.

Responsibilities

Maintain and support all compliance-related systems and tools, including user access, release updates, and the rollout of new or enhanced functionalities.
Analyze compliance data to uncover trends, identify gaps, and recommend improvements. Prepare detailed reports and present actionable insights to stakeholders.
Stay current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
Evaluate existing compliance processes and identify opportunities for improvement. Collaborate with cross-functional teams to implement and embed enhancements.
Conduct compliance risk assessments and develop strategies to mitigate identified risks. Support the implementation of risk management measures.
Assist with internal and external audits by providing required documentation and addressing findings through corrective actions.
Resolve issues related to compliance systems and tools, ensuring data accuracy and system integrity.
Gather and communicate stakeholder requirements clearly. Distribute relevant documentation and updates to ensure alignment across teams.
Lead the preparation and validation of business requirements to support compliance initiatives and system enhancements.