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Compliance Branch Examiner Jobs

Business Conduct Compliance Examiner
By CIRO / OCRI At Toronto, Ontario, Canada
Interact with senior management, supervisory and compliance staff of a Dealer Member to evaluate the effectiveness of the firm’s controls
Actively contribute to team discussion, openly sharing experiences and ideas to improve examination practices and departmental goals
The following courses are an asset: Derivatives Fundamental Course, Branch Managers Course and Chief Compliance Officers Course
Knowledge of securities industry, CIRO Dealer Members and their activities.
Effective written and oral communication skills
The following courses are required: Canadian Securities Course, and Examination based on the Conduct and Practices Handbook for Securities Industry Professionals,
Branch Administrator And Compliance Officer
By BMO At Kelowna, British Columbia, Canada
Identifies and escalates all irregularities and discrepancies to management and compliance as per guidelines.
Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.
Broader work or accountabilities may be assigned as needed.
Typically between 3 - 5 years of relevant experience and post-secondary degree in the Financial Industry
Branch Compliance Officer (BCO) certification - must be completed or in progress (must be completed within 6 months).
Verbal & written communication skills - Excellent
Compliance/Branch Manager Jobs
By De Thomas Wealth Management At Kelowna, British Columbia, Canada
•Prepare weekly and monthly ad-hoc reporting summaries of follow-ups and deficiencies to compliance management.
•Participate in the development and delivery of educational materials and programs to registered Advisors.
oWill at a minimum require Branch Manager Designation
oAdditional proficiencies may be required depending on legislation requirements
Minimum 2 years with a mutual fund or securities license, Branch manager course
Example: Excellent verbal and written communication skills, good computer skills

Are you looking for a challenging and rewarding career in compliance? Join our team as a Compliance Branch Examiner and help us ensure that financial institutions comply with applicable laws and regulations. You will have the opportunity to work with a diverse group of professionals and use your knowledge and expertise to make a difference. If you are passionate about compliance and want to make a positive impact, this is the job for you!

Overview:

Compliance Branch Examiners are responsible for ensuring that financial institutions comply with applicable laws and regulations. They conduct examinations of financial institutions to assess their compliance with applicable laws and regulations, and they review and analyze financial documents to identify any potential risks or violations. They also provide guidance and advice to financial institutions on how to comply with applicable laws and regulations.

How To Become an Compliance Branch Examiner:

To become a Compliance Branch Examiner, you must have a bachelor’s degree in finance, accounting, or a related field. You must also have experience in banking, finance, or a related field. Additionally, you must have strong analytical and problem-solving skills, as well as excellent communication and interpersonal skills.

Compliance Branch Examiner Skills:

• Knowledge of banking and finance regulations
• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Ability to work under pressure and meet deadlines
• Proficiency in Microsoft Office Suite
• Ability to interpret and analyze financial documents

What is Compliance Branch Examiner Knowledge?

• Knowledge of banking and finance regulations
• Knowledge of financial analysis and reporting
• Knowledge of risk management principles
• Knowledge of auditing principles and practices
• Knowledge of accounting principles and practices
• Knowledge of data analysis and interpretation

What is Compliance Branch Examiner Responsibilities?

• Conducting examinations of financial institutions to assess their compliance with applicable laws and regulations
• Reviewing and analyzing financial documents to identify any potential risks or violations
• Providing guidance and advice to financial institutions on how to comply with applicable laws and regulations
• Preparing reports on examination findings
• Recommending corrective actions to address any identified risks or violations
• Monitoring the implementation of corrective actions
• Maintaining up-to-date knowledge of banking and finance regulations

What is Compliance Branch Examiner Experience?

• Previous experience in banking, finance, or a related field
• Previous experience in compliance or risk management
• Previous experience in auditing or accounting
• Previous experience in data analysis and interpretation

What is Compliance Branch Examiner Qualifications?

• Bachelor’s degree in finance, accounting, or a related field
• Professional certification in banking, finance, or a related field (e.g., Certified Regulatory Compliance Manager (CRCM) or Certified Financial Services Auditor (CFSA))

Compliance Branch Examiner Education:

• Bachelor’s degree in finance, accounting, or a related field
• Professional certification in banking, finance, or a related field (e.g., Certified Regulatory Compliance Manager (CRCM) or Certified Financial Services Auditor (CFSA))
What tools help Compliance Branch Examiner work better?
• Regulatory compliance software
• Risk management software
• Financial analysis software
• Data analysis and visualization software
• Document management software
Good tips to help Compliance Branch Examiner do more effectively?
• Stay up to date on banking and finance regulations
• Develop strong analytical and problem-solving skills
• Develop strong communication and interpersonal skills
• Develop an understanding of risk management principles
• Develop an understanding of auditing principles and practices
• Develop an understanding of accounting principles and practices
Common Compliance Branch Examiner interview questions?
• What experience do you have in banking, finance, or a related field?
• What experience do you have in compliance or risk management?
• What experience do you have in auditing or accounting?
• What experience do you have in data analysis and interpretation?
• How familiar are you with banking and finance regulations?
• What do you think are the most important qualities for a Compliance Branch Examiner?