Jobs
>
Toronto

    Compliance Analyst/Officer - Toronto, Canada - CB Canada

    CB Canada
    CB Canada Toronto, Canada

    1 week ago

    Cb Canada background
    Description

    Compliance Analyst/Officer

    On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer.

    Compliance Analyst/Officer – Job Description

    • The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework
    • This includes ensuring that businesses are aware of the legislation under which they are governed, and providing advice and support as required
    • The team is also accountable for promoting regulatory compliance by developing and maintaining compliance programs, including relevant training, carrying out independent monitoring and oversight activities and meeting reporting requirements
    • Reporting to the Senior Manager, Canadian Banking Compliance, the Senior Compliance Officer (SCO) will be a member of the Canadian Banking Compliance (CBC) team, and will: a) provide guidance, oversight and expertise to Canadian Banking businesses on regulatory requirements and controls, and assist the businesses in managing their regulatory compliance and conduct risk; and b) provide ongoing oversight and maintenance of our internal Compliance program
    • Support of Canadian Banking businesses
    • The successful candidate will act as a subject matter expert and provide ongoing advice and support on regulatory compliance and conduct risk matters, including consumer protection (under the federal Bank Act or provincial consumer protection legislation), CDIC, Privacy (including PIPEDA and CASL), Conduct Risk, and OSFI Guidelines
    • This subject matter expertise is leveraged to execute our Compliance oversight program, elements of which include:
    • Regulatory Change Management: Provide input on proposed changes to regulatory requirements or guidelines and serve as subject matter expert as those changes are implemented across the bank
    • Assess emerging regulatory or industry risks and recommend policy and/or action to the business
    • Maintain Inventory of Requirements: Maintain inventories of the regulatory requirements applicable to the business, assess the risks of each requirement, and work with business partners to map corresponding controls to mitigate those risks
    • Preventive Guidance: review new products and processes; participate in business-initiated projects and provide advice on regulatory requirements
    • Provide guidance to the business in establishing day to day regulatory compliance controls
    • Support the implementation and sustainably of an effective first line oversight program within the business
    • Detective Activities: Detect and mitigate violations of regulatory or internal policy requirements
    • Independently monitor and assess effectiveness of business regulatory compliance controls
    • Support regulatory Compliance Department testing and monitoring programs
    • Issue Management: Provide guidance throughout the life cycle of an issue, from detection to resolution
    • Review business action plans for effectiveness and timely implementation
    • Report on existing and emerging regulatory compliance issues and risks to Compliance senior management, business senior management, and regulators as required
    • Regulatory Engagement Assist with responding to regulatory examinations and investigations, completing required filings and reporting to regulators
    • Risk Assessment: Assess the overall state the business' Compliance with regulatory requirements, including the effectiveness of its own Regulatory Compliance Management (RCM) program
    • Reporting: Report identified or emerging risks to senior management within Compliance, the business, applicable Boards, and regulators as required
    • Support of internal Compliance program
    • The successful candidate will also oversee the internal CBC program, which includes oversight and development of policies, job aids, training and strategic initiatives, and represent CBC on pan-Compliance initiatives

    Compliance Analyst/Officer – Mandatory Skills

    • Understand regulatory requirements and apply that knowledge to business-specific scenarios - 1-3 years' experience
    • Experience related to regulatory compliance, legal, or risk management - 1 to 3 years
    • Communication skills
    • Ability to liaise with a number of internal stakeholders, including executives, to prepare reports
    • Strong critical thinking, organizational and problem-solving skills; time management
    • Strong interpersonal skills with the ability to interact at all levels of the Bank with superior organizational awareness
    • Ability to provide thought leadership in supporting positive work environments

    Compliance Analyst/Officer - Nice to Have Skills

    • Knowledge of Canadian Banking products, policies & processes are preferred

    Compliance Analyst/Officer - Assignment Start Date

    ASAP – 18 months to start

    Compliance Analyst/Officer - Assignment Location

    Toronto, ON – Work Hybrid

  • CIBC

    Senior Compliance Officer SWAP Dealer

    2 weeks ago

    CIBC Toronto, Canada Temps plein

    Nous bâtissons une banque axée sur les relations pour un monde moderne. Nous recrutons des professionnels talentueux et passionnés qui ont à cœur de faire ce qu'il faut pour nos clients. · À la Banque CIBC, nous misons sur vos forces et vos ambitions pour vous donner le pouvoir ...

  • Insight Global

    Compliance Analyst

    5 days ago

    Insight Global Toronto, Canada

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. · Compliance analysts review laws and regulations, assessing inbound mutual funds tr ...

  • Momentum Financial Services Group

    Compliance Analyst

    2 weeks ago

    Momentum Financial Services Group Toronto, Canada Full time

    Job Description · Job Description · Candidates must reside in the GTA area to be considered for this role as they will be required to be in the office 3 days a week at the Toronto Corporate Office (located in downtown Toronto). · We are seeking a Compliance Analyst to join our Co ...

  • Money Mart Financial Services

    Compliance Analyst

    2 weeks ago

    Money Mart Financial Services Toronto, Canada Full time

    Company Description · Momentum Financial Services is a leading provider of financial services in North America. For 40 years, we've been committed to providing financial solutions that meet the evolving needs of consumers and business owners. Through our retail network of over 4 ...

  • First National

    Analyst, Compliance

    1 week ago

    First National Toronto, Canada Full time

    We are hiring an Analyst, Compliance · The Role: This position will play an important role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high quality, professional, and independent compliance testing. The incumbent will contr ...

  • AGF Investments

    Compliance Analyst

    5 days ago

    AGF Investments Toronto, Canada Full time

    About AGF: · Founded in 1957, AGF Management Limited is an independent and globally diverse asset management firm. AGF brings a disciplined approach to delivering excellence in investment management through its fundamental, quantitative, private capital, and high-net-worth busine ...

  • Larson Maddox

    Compliance Officer

    2 weeks ago

    Larson Maddox Toronto, Canada

    An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This positi ...

  • CI Financial

    Compliance Officer

    2 weeks ago

    CI Financial Toronto, Canada Full time

    At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...

  • Bloom Finance Company Ltd.

    Compliance Officer

    3 weeks ago

    Bloom Finance Company Ltd. Toronto, ON, Canada

    About Bloom: Bloom is a leading Canadian fintech company specializing in reverse mortgages. As a licensed mortgage brokerage and administrator operating in Ontario, British Columbia, and Alberta, and in partnership with OSFI-regulated financial institutions, Bloom offers innovati ...

  • Insight Global

    Compliance Analyst

    3 days ago

    Insight Global Toronto, ON, Canada

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triag ...

  • Insight Global

    Compliance Analyst

    3 days ago

    Insight Global Toronto, Canada

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triag ...

  • Robertson & Company Ltd.

    Intermediate Compliance analyst

    1 week ago

    Robertson & Company Ltd. Toronto, Canada

    ***Please note before applying: We require Mandarin speaking as a MUST-HAVE · Position: Intermediate Compliance Analyst · Location: Markham, Ontario, Canada (Hybrid- 3 days ONSITE) · Type: Full time permanent · Mandarin-speaking candidates required ** · Upto $70-80K year + Bonus ...

  • CI Financial

    Cybersecurity Compliance Analyst

    2 weeks ago

    CI Financial Toronto, Canada Full time

    At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...

  • Deciem

    Senior IT Compliance Analyst

    2 weeks ago

    Deciem Toronto, Canada Full time

    · We are looking for an experienced Senior IT Compliance Analyst to support and maintain DECIEM's IT governance, risk management, processes & controls and overall compliance. This hybrid role will be based out of our Fraser Head Office in Toronto. · WHAT YOU'D BE DOING IN THIS ...

  • Peoples Trust

    Regulatory Compliance Analyst

    1 week ago

    Peoples Trust Toronto, Canada Full time

    Job Details · Description · About us: · Peoples Group is a boutique Financial Institution with offices located in Vancouver, Calgary, Toronto, and Montreal that has been in the Canadian marketplace for over 30 years. Our mission is to exceed our customers' expectations by prov ...

  • Société Financière Manuvie

    Sales communications compliance officer

    2 weeks ago

    Société Financière Manuvie Old Toronto, Canada

    Nous sommes un fournisseur de services financiers qui s'emploie à faciliter les décisions de nos clients et de nos collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie ...

  • Bantrel Co.

    Environmental Compliance Officer

    2 weeks ago

    Bantrel Co. Toronto, Canada Full time

    Job Description · We are currently seeking a qualified Environmental Compliance Officer to join our Infrastructure team, based out of Toronto, ON. The Environmental Compliance Officer will be responsible for supporting the Environmental Compliance programs and providing technical ...

  • CI Financial

    Compliance Officer, Surveillance

    2 weeks ago

    CI Financial Toronto, Canada Full time

    JOB OVERVIEW · We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and ...

  • CI Financial

    Bilingual Compliance Officer

    4 days ago

    CI Financial Toronto, Canada Full time

    At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...

  • CI Financial

    Senior Compliance Officer

    2 weeks ago

    CI Financial Toronto, Canada Full time

    At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...