Compliance Analyst

Compliance Analyst

Weare seeking a detailoriented and experienced Compliance Analyst tojoin our clients team in the insurance industry. This role willsupport institutional high net worth and retail business lines byensuring compliance with global communications policies Canadianregulatory requirements and internal standards.

The successfulcandidate will act as a key advisor to business partners providingindependent reviews of marketing materials and participating inproject working groups related to product launches andchanges.

Whatis in it foryou :

Hourly salary of $40.28 to $48.04 based onexperience.

12monthcontract.

Fulltime position : 37.50 hours per week.

Hybridwork : 3 office days from Tuesday toThursday.

Opportunity to work ina dynamic and professionalenvironment.

Join a passionateand inclusive team ofprofessionals.

Responsibilities :

Support the development implementation and maintenance of CWAMDistribution Compliancerelated policies and procedures to ensureregulatory compliance.

Reviewmarketing materials (advertisements presentations website pagesbrochures articles social media) to confirm compliance withNational Instrument 81102 and internalguidelines.

Collaborate with PMssales and product teams on new strategies / products / distributionmethods providing riskbased compliance analysis andguidance.

Monitor and assess theimpact of distributionrelated regulations on sales marketing andother communications materials.

Create and conduct compliance training and consultations regardingregulatory requirements and internal policies forstakeholders.

Participate ininstitutional distribution compliance team projects such as ESGGIPS and automotive reviewinitiatives.

Provide advice tofirm personnel on distribution compliancematters.

Act as an individualcontributor setting direction establishing goals and managingassigned tasks.

Handle advancedcompliance work and share best practices with teammembers.

Collaborate with allareas of the organization to ensure compliance needs and businessgoals are met.

Assist teammembers with tasks and assignments asneeded.

Establish and maintainstrong working relationships with businessunits.

Participate in industryforums / working groups to stay current on regulatory trends andindustrystandards.

Whatyou will need tosucceed :

College / University Degree and / or equivalentexperience.

35 years of relatedfinancial services compliance or management experience particularlyin the Canadian mutual fundindustry.

Familiarity with NI81102 Canada Securities Law and working knowledge of NI 31103 NI81105 NI 81106 and NI 81107 requirements related to investmentfunds and applicable securitiesregulations.

Strongorganizational skills capable of handling high volumes of requestsand inquiries within tighttimelines.

Indepth understandingof the mutual fund industry its operational functions andcompliance and regulatory requirements for Investment Fund ManagerPortfolio Manager and Commodity Trading Managercategories.

Proactiveselfmotivated with strong problemsolving abilities and able toeffectively prioritize in a fastpacedenvironment.

Excellent writtenand verbal communication skills with the ability to negotiate andinfluence others.

Strongtechnology skills including knowledge of applicable compliance orbusiness systems.

Strong ethicalcompass and comprehensive knowledge of the financial servicesindustry.

Advanced understandingof the regulatory environment and key compliancerequirements.

Ability to workindependently and facilitate decisionmaking acrossgroups.

Strong change managementskills and ability to embracechange.

Ability to analyzetechnical information and make appropriate recommendations todecisionmakers.

WhyRecruitAction

RecruitAction (agency permit : AP2000003) provides recruitment servicesthrough quality support and a personalized approach to job seekersand businesses.

Only candidates who match hiring criteria will becontacted.

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