Jr. Compliance Analyst to support compliance testing for mutual funds for a large insurance client -
2 Roles - 1 Bilingual (French / English) and 1 English Only
Duration : End of Dec (possibility of extension)
Location : Remote
Branch Examiner is responsible for performing ongoing and periodic analysis and supporting the Market Conduct Audit (MCA) program for various distribution channels.
The incumbent will assist with compliance testing, and action plan resolutions for mutual fund and insurance.
Must Have Skills :
- 1-3 years’ experience as a Compliance Analyst working with Mutual Fund Compliance
- Experience assisting with compliance audits or tests
- High proficiency with technology : Microsoft Excel, MS Sharepoint, Access, Univeris, Customer Service Workbench (CSW)
- Knowledge of MFDA Policiesand Bulletins, Securities and Insurance laws and regulations, and the ability to apply these in practical situations
- Knowledge of life / health / wealth product lines
- Bilingual (English / French)
Nice To Have Skills :
- University or College degree related to accounting, business or compliance
- Understanding of commission arrangements, advisor contracts and the code of business practice for advisors
- Successful completion of IFIC Course
- Successful completion of LLQP Course
- Salesforce experience
Job Description :
- Assist with execution of Market Conduct Audits, including conducting advisor interviews and desk file audits against mutual fund and life & health insurance regulatory requirements, and dealer policies and procedures
- Completing location visits for registered advisor business addresses
- Conduct pre-audit data collection and analysis for Market Conduct Audits
- Actively follow up on outstanding audit findings
- Support the maintenance and continuous improvement of the Market Conduct Audit program
- Assist with daily review of the centralized team mailbox to address inquiries
- Perform other duties and special projects as assigned time to time
Intermediate Operational Technology (OT) Analyst to provide operational support for engineering and real-time mining applications, and underlying technical infrastructure.
Provide expert second-level technical support to local mines, acting as a pivotal figure in the OT system support hierarchy, and liaise with vendor support teams for complex issue resolution. Intermediate Operational Technology (OT) Analyst to provide operational support for engineering and real-tim...
Teacher on Call for Kindergarten to Grade 12
These important roles support the school when there is a need for additional staff due to special events or teacher absences and are often opportunities for people to get familiar with our school and community before applying for more permanent roles within the school. From the early days of our Chr...
Snr PeopleSoft Systems Analyst to provide functional and technical expertise in the system’s configuration, upgrades, and support.
Snr Peoplesoft Systems Analyst to provide functional and technical expertise in the system’s configuration, upgrades, and support. Our valued client is looking for a. System Analysis & Maintenance: Analyze and troubleshoot PeopleSoft applications to maintain optimal performance and resolve user issu...
Jr. Construction Software Support (Available to Vancouver Island residents ONLY)
A professional customer facing position, a Construction Software Support specialist is accountable for supporting and some training of Plexxis ERP Software in an efficient, knowledgeable and friendly manner. This position has a significant impact on customer satisfaction and contributes to...
Senior Reliability Cleared Business Analyst (10+ years) to assist with the implementation of a data governance program for a digital transformation project
Senior Reliability Cleared Business Analyst (10+ years) to assist with the implementation of a data governance program for a digital transformation project. Our valued Public Sector client is in need of a . A data governance framework currently exists, and this role is to support its implementation....
Security Analyst, Governance, Risk & Compliance (GRC)
This role is ideal for entry-to-intermediate level candidates in the security, governance, risk and compliance space. Running a small business today isn’t like it used to be—the way we consume and deliver service is changing rapidly, technology is evolving, and customers expect more. Participate in ...
Senior Compliance Analyst (Bilingual French)
Effectuer des audits clients externes, analyser l'accès des clients pour garantir le respect des accords juridiques et des politiques et procédures internes et formuler des recommandations, y compris des suspensions ou des résiliations, si nécessaire. Soutenir les différentes unités commerciales et ...
Senior Tax Compliance Analyst (12 Months)
Are you passionate about revolutionizing the digital tax preparation software and services experience? Are you looking for an opportunity to contribute to the design of software that will be used nationally, by both Do-It-Yourself clients and in retail and franchise offices? If you love to solve puz...
Chemical Engineers for Canada
Reviewing product failure data and implementing laboratory tests to establish or reject possible causes, and advising on ways to overcome any problems. Establish and conduct quality control programs, operating procedures and control strategies to ensure consistency and adherence to standards for raw...
Payroll Compliance Analyst, Canada
Collaborates with Product Specialists to understand country-specific payroll compliance requirements and translate them into technical specifications for development of the country’s payroll engine. Our unified yet diverse culture keeps us continually learning and innovating the Deel platform and ou...