Customer Compliance Analyst Jobs in Manitoba

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

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;

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

Knowledge of SLGI Asset Management Inc. product offering and categories of registration

Experience working in the asset management compliance function within a federally regulated financial institution

College diploma or University degree with 3-6 years of experience or an equivalent combination of education and experience

Solid understanding of the Regulatory Compliance Management (RCM) lifecycle and program elements

Excellent analytical skills (planning, quantitative skills, attention to detail and quality standards)

Ability to manage and prioritize high work volumes during peak periods (annual planning, quarterly reporting cycles, etc.)

2) Good knowledge of regulatory rule/obligations applicable to the Wealth Management Businesses (e.g., MFDA, IIROC, OSC, etc.)

1)Experience in the records and information management field

•Together with the Senior Manager, provides status reporting to track the progress and completion of records inventories

•Offers support to ongoing and additional projects within the GWM RIM team as required

3) Experience facilitating working sessions with key stakeholders

4) Good working knowledge of Microsoft Excel, PowerPoint, and Word

Completing requirements (BRD) and associated functional requirements (FDD) by working with business stakeholders and facilitating working sessions and meetings.

Complete business future state process flows based on requirements and gap analysis.

Determine client requirements and transform them into system requirements.

Bridge understanding of business requirements between business partners and technology and assist/and or translate business requirements to system requirements.

Work with end users to determine business needs/requirements for new/enhanced systems or applications.

Be comfortable with MS Office Suite (Excel, Word, Visio, PowerPoint, and Project). MS-Visio and MS Project experience is a must.

Deliver timely and concise communication, including developing and producing management reporting, illustrating SOX status, trends, and remediation of deficiencies

Help prepare executive management and Audit Committee materials highlighting overall SOX progress and results

Strong understanding of SOX regulations and experience with SOX compliance requirements

Facilitate the coordination efforts between external auditors and internal process owners as part of testing and certification of controls

Bachelor's degree in accounting, finance, or a related field

3-5 years of experience in external or internal audit, risk advisory, or SOX compliance roles

Knowledge of audit, risk and regulatory compliance management is an asset

Strong presentation and written skills and knowledge of outcome-based learning techniques

Review attendance stats, view rates & customer feedback. Adjusting your offering accordingly.

Support key programs & initiatives (e.g 90-day customer onboarding, customer certifications).

3+ years Industry experience preferred

Strong knowledge of on-line presentation software’s (i.e., WebEx, Teams)

Comprehensive benefits package (health, life insurance, dental, disability, vision care)

Financial support for fitness programs and job-related education

•Foster strong relationships with enforcement and corporate finance branches of securities commissions.

•excellent analytical and communication skills

Vacation and leaves (e.g., personal days, sick leave)

We’re looking for an Analyst, Listed Company Compliance to join the team in Toronto or Vancouver.