- Conduct testing in accordance with PC Bank testing methodology, including 1st line re-performance and independent testing, within established timeframes to ensure controls are property identified and assessed with business partners focusing on regulatory risk.
- Develop detailed tier 1 (first line) and tier 2 (second line) test plans (e.g., frequency, objectives, procedures) across different business lines and functions.
- Manage 1st line compliance testing program including monitoring timeliness and validation of accuracy and completeness of 1st line testing submitted by the business.
- Execute testing and analyze results to identify control deficiencies.
- Work with the business stakeholders to communicate recommendations for improvement and finalize appropriate solutions to remediate issues and formalize in action plans.
- Coordinate and oversee the issue management process which includes regular monitoring, follow-up and validation of established action plans with business stakeholders to ensure timely remediation.
- Stay up-to-date on changes in regulatory requirements related to the industry landscape as well as emerging best practices in compliance testing frameworks.
- Advise the business in designing, implementing and validating new and/or enhanced controls based on identified issues from testing or new/changing regulations.
- Develop and manage relationships with key stakeholders across business lines and functional areas to provide ongoing effective challenge of their control environment.
- Assist in monthly and quarterly reporting in relation to testing.
- Assist with the updates to Compliance policies and standard operating procedures (SOPs).
- Assist with other activities and tasks as needed to support the broader Compliance team.
- University degree or College diploma required, preferably in business administration, finance, law or related field.
- 3 to 5 years of experience working within a financial institution or similar regulated industry environment in a risk management, controls assessment, compliance, audit or similar function
- CPA and/or CIA professional designation is an asset
- Strong understanding and knowledge of compliance testing methodologies and applicable laws/regulations pertaining to PC Bank
- Experience using eGRC systems such as Resolver is an asset
- Proficient with Microsoft Office (Word, Excel, PowerPoint)
- Strong analytical and conceptual thinker with the ability to think critically to identify and solve problems including making decisions based on qualitative and/or quantitative analysis.
- Enthusiastic learner with demonstrated ability to thrive in a fast-paced work environment and manage multiple priorities at once.
- Excellent project and time management skills and ability to work independently with a focus on quality delivery on time.
- Strong verbal and written communication skills, including ability to distill complex ideas into succinct and clear summaries for the understanding of stakeholders in different business lines and functional areas.
- Ability to document and present issues in a clear and concise manner and working with stakeholders to oversee and influence the development of effective action plans to remediate identified issues.
- Ability to work collaboratively and effectively as a team member within Compliance function and build effective relationships with business stakeholders at all levels.
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Senior Analyst, Compliance Testing - Golden Horseshoe, Canada - President's Choice Bank
Description
Senior Analyst, Compliance Testing page is loaded
Senior Analyst, Compliance Testing
Apply locations 500 Lake Shore Blvd W, Toronto, ON time type Full time posted on Posted 4 Days Ago job requisition id RReferred applicants should not apply directly to this role.
All referred applicants must first be submitted through Workday by a current Loblaw Colleague.
Location:
500 Lakeshore Blvd. West, Toronto, Ontario, M5V 2V9When you hire great people, great things can happen.
PC Financial offers unprecedented value to Canadians through payment products. We're a different kind of bank with a different type of team—we're collaborative and supportive and have the freedom and responsibility to thrive. Our purpose is to make the everyday simple and better for our customers, and we strive to make every dollar worth more.
Proudly serving over 3 million customers, PC Financial continues to grow by offering payment solutions and services that reward our customers every day. As a subsidiary of Loblaws Company Inc., we share the CORE values of Care, Ownership, Respect and Excellence. We are dedicated to helping Canadians Live Life Well. Join us on our journey.
Why this Role Is Important:
Reporting to the Senior Manager, Business Compliance, we are looking for a Senior Analyst, Compliance Testing to join our 2nd line of defense dynamic Compliance function and play a key role in conducting monitoring and testing.
As a Senior Analyst, Compliance Testing, your primary responsibilities will revolve around conducting various testing activities, including test planning, execution, issues management and reporting. Working closely with various business stakeholders (e.g., Product, Credit Risk, AML, Sales, Operations, Finance, Treasury, HR), this is an important risk management role (second line of defense) in ensuring PC Bank's adherence to regulatory requirements and identifying areas for improvement.
The role combines knowledge of controls, risk management with an understanding of the financial services regulatory landscape to help the Bank manage regulatory compliance risks. A background in compliance, risk management or audit is required.
What You Will Do:
What You'll Need:
What You Bring
Come and join a winning team who demonstrates innovation, energy, creativity and vision. We recognize the importance of a diverse workforce and we therefor encourage applications from Aboriginal Peoples, women, members of a visible minority and persons with a disability. We thank all applicants for their interest, however, only those selected for an interview will be contacted.
Number of Openings:
1PC Financial recognizes Canada's diversity as a source of national pride and strength. We have made it a priority to reflect our nation's evolving diversity in the products we sell, the people we hire, and the culture we create in our organization. Accommodation is available upon request for applicants and colleagues with disabilities.
In addition, we believe that compliance with laws is about doing the right thing. Upholding the law is part of our Code of Conduct – it reinforces what our customers and stakeholders expect of us.
Please Note: If you have Employee Self Service (ESS) on Workday, apply to this job via the Workday application.
About Us
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