Customer Compliance Analyst Jobs

You bring 1-3 years experience in accounting or finance is preferred.

Support the Compliance Officer and Compliance Plan Committees with their respective compliance requirements.

Prepare compliance reports to meet internal and external reporting requirements.

Experience working in a regulatory or policy development environment considered an asset.

Excellent interpersonal, organizational, and verbal and written communication skills.

Interpretation and application of the Inter-Affiliate Code of Conduct (IACC), Code of Conduct Regulation (COCR) and the Code of Ethics (CofE)

W/CompTIA(A+),CISSAM/HAM,SQL,IT,MS,Cloud,WAS,WAMtrainedtoensure corporation stayed in compliance with PCI DSS

Maintained system quality control, surveying users, collecting metrics data and handling IT

audits to support updates and maintenance - weekly, monthly and quarterly.

Support risk management activities in Canadian P&BB Business Units i.e. issue management, control documentation, reporting

Exposure to Risk Management, Audit, Compliance or Operational Risk

3-5+ years of experience working in Banking Compliance, specifically in Personal and Commercial banking realms

Previous experience in compliance or operational risk control testing

Detailed knowledge of the Bank Act and Consumer Protection regulations

Proven experience with testing - whether in operations, risk or compliance risk audit testing

Well-developed Project Management Skills, familiarity with software development life cycle, excellent written and oral communication skills.

Provide timely and accurate status reports to Senior Management and Stakeholders

5+ years of work experience within Capital Markets or financial services.

A good working knowledge of data analysis tools, such as Excel and SQL is a must.

Liaise with Compliance and Business to define requirements for developing Compliance testing and monitoring routine.

Collaborate with the development teams and manage model development efforts from the beginning to the end.

Prior Ethidex regulatory compliance management system experience an asset

Completed post-secondary education in legal, insurance or finance

Minimum of two years’ experience in an analyst capacity within a legal, finance, compliance or similar department.

Prior knowledge/experience with Governance, Risk and Compliance and Controls frameworks

Maintain Compliance related records within Ethidex regulatory compliance system with Manager, Compliance approval

With the guidance of the Manager, Compliance provide general advice and assistance to business units on Regulatory Compliance

In this role you will lead various project’s requirements management process in Corporate IT.

Bachelor’s Degree in Computer Science, Management of Information Systems, or related business discipline(s).

Prepare and contribute to any project deliverables - scope documents, requirements, project plans, test plans, communication plans, standard operating procedures, etc.

Identify, document and manage risks. Recognize issues and proactively create solutions to mitigate adverse impacts.

5-7 years’ work experience with IT or process engineering

Process mapping/ process improvement experience

Work with teams and manage effective action plans in response to audit discoveries and compliance violations.

6+ years work experience in Information Technology, IT Audit and/or Security-related field

Bachelor’s degree in IT Audit, Computer Science, Information Security or related field of study; or commensurate working experience

Minimum 3 year experience with security standards such ISO 27001, NIST 800-xx, SOC 2

A positive attitude with an eagerness to learn and develop professional knowledge.

SOC2 AICPA Trust Service Principles implementation experience.

Strong organizational and time management skills with the ability to handle multiple projects.

Evaluating potential compliance risks and vulnerabilities arising from emerging risks and how the Bank has embedded changes and requirements.

Your qualifications and skills include:

Good verbal and written communication skills and ability to reach out to diverse and geographically distributed teams.

Strong analytical and problem-solving skills to facilitate the data collation required for investigations, monitoring and surveillance.

Conducting comprehensive testing and assessments to determine the organization's adherence to relevant laws, regulations, and policies.

Assists with the implementation of the compliance management program and the application of BC Reliability Standards, policies, procedures and technologies.

Completion of a recognized Business Diploma with a focus on project management, business or financial analysis.

3 years of related experience with process and procedure development and training, preferred.

Excellent multi-tasking, critical thinking, problem solving and decision making skills.

Highly organized (ability to manage multiple priorities and/or issues)

Strong analytical skills with attention to details process efficiency and streamlining.

Prior experience in compliance, risk management or a related field within the financial services industry

Assist in investigating compliance violations and identifying and escalating any red flags or suspicious activities to senior management.

Support members our the Legal and Compliance team to ensure adherence to company policies, industry regulations and legal requirements

Excellent analytical skills and attention to detail

Effective written and verbal communication skills

Strong communication and interpersonal skills

Experience and/or knowledge with Blockchain Technology and cryptocurrency is an asset

Management that is invested in your personal career development,

Conduct thorough needs assessments to understand client requirements and recommended suitable products and services.

Collaborate with internal teams such as Operations, and Compliance to streamline processes and deliver exceptional client experiences.

Update internal policies and procedures to ensure changing regulatory requirements and industry best practices are met

Banking, money services business, or fintech industry experience considered an asset,

• Notifying management upon any discovery of standards not met with recommendations for rectification or improvement.

• Providing relative data for KRI and MI reporting to Management.

Your qualifications and skills include:

• Ability to promptly and appropriately escalate risks and/or failure of standards to be met, to management.

• Minimum of five years’ Compliance/Financial Crime experience, or other experience deemed to be equivalent.

• Technical knowledge and ability to assist in developing and facilitating Compliance and Financial Crime training activities.

Collaborate with Vendor Program Manager for different internal stakeholders (Operational, Legal, Health & Safety, Quality etc.) for new client requirements

Collaborate with Vendor Program Manager for different internal stakeholders (Operational, Legal, Health & Safety, Quality etc.) for incoming client requests

Collaborate with Vendor Program Manager to draft client compliance related KPI’s

Escalate more complex compliance matters to Vendor Program Manager and/or assist in solving them

3 – 5 years of experience in a similar position.

Experience in the construction and/or telecommunication industry a strong asset.

Three years or more of experience in a compliance function with a global asset manager;

Knowledge of regulatory controls and testing methodologies pertaining to asset managers;

Strong organizational skills and demonstrated ability to manage simultaneous priorities;

Your Inclusive Experience: We are committed to cultivating an inclusive, safe, and trusting work environment.

Bachelor’s degree in a relevant field (finance, business administration, accounting, etc.);

Experience with conducting compliance reviews of marketing materials and social media postings;

Excellent organizational, time management, and multitasking abilities

Proficient in data entry skills

Assists with managing operational risk by performing daily audits in accordance to CSCBX requirements and guidelines.

Good analytical, problem solving and troubleshooting skills

Experience in relevant computer applications and contact center systems

Strong oral and written communication skills

CPA (or working towards) with 2+ years of experience in public accounting or industry; SOX experience is an asset

Very strong analytical, organization and problem-solving skills with proven ability and tenacity to resolve issues independently

Ability to partner and build strong relationships with cross-functional operational and finance teams

Highly proficient in Microsoft Office; advanced excel skills preferred

Liaise between our Corporate Responsibility & Environment team and business operations to monitor, report and support solutions on Environmental compliance.

Prime all other policy and compliance work not limited to analyzing income and sales taxes, insurance activities and provisioning review.

Bachelor’s degree or the equivalent combination of education and experience is required.

Review and approve sales practice activities pursuant to Canadian regulatory requirements (NI 81-105) and related internal policies and procedures

1-3 years of experience in the financial services industry and experience with the investment advisory industry experience.

Knowledge of US financial regulations such as the New SEC marketing rules would be helpful.

A competitive salary and benefits packages.

A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills.

Experience/knowledge of Cap & Trade Programs

4+ years of experience working in Commodity/Energy Compliance within a related industry (Energy, Oil & Gas, Utilities)

Experience with indirect tax, fuel tax, and commodity tax

Direct NGL (Natural Gas Liquids) industry experience

Experience working with government audits

Ability to use and create Pivot Tables in Excel

Experience/knowledge of Cap & Trade Programs

4+ years of experience working in Commodity/Energy Compliance within a related industry (Energy, Oil & Gas, Utilities)

Experience with indirect tax, fuel tax, and commodity tax

Direct NGL (Natural Gas Liquids) industry experience

Experience working with government audits

Ability to use and create Pivot Tables in Excel

You have strong verbal, written and interpersonal skills and the ability to liaise with all levels of management

You will review and maintain relevant policies and procedures as local legislation and requirements are amended

You have a Bachelor’s degree in Business Administration/Accounting/ Finance or Economics

You have at least 2 years of experience in the Financial Industry

You have knowledge of compliance and regulatory matters, specifically Know Your Customer (KYC) and Anti-Money Laundering (AML)

You have prior experience as a Compliance Analyst, KYC Officer