Compliance Analyst
Mississauga, Ontario, Canada
1d ago
source : Glassdoor, Inc.


Ontario - Head Office Mississauga

Compliance Analyst

Legal and Compliance Division

Compliance Analyst

Legal and Compliance Division

Full-time Position

Knowledge First Financial is one of Canada’s leading Registered Education Savings Plans (RESP) providers. Knowledge First’s mission is to encourage and assist Canadians to obtain a post-secondary education by providing peace-of-mind savings solutions.

We are determined to be FIRST

F First come our customers

I Innovation in everything we do

R Results determine success

S Sales drive our business

T Teamwork toward a common goal

This is your chance to be part of an exceptional group of people, to make positive contributions that help Canadian families, working in an environment that is focused on satisfying employees and customers alike.

If you demonstrate our values listed above and you thrive on change and positive growth apply for a position with us today.

Our company is growing and it is an exciting time. We’d love to have you join our team and help make Knowledge First Financial the recognized leader in providing education savings solutions for Canadians.

Primary responsibilities include the management of the Compliance monitoring program including revisions to the program and risk identification and remediation.

Position Responsibilities :

  • Manage and revise the Compliance monitoring program including updates to all monitoring Standard Operating Procedures
  • Analyze exception reports to identify trends that might indicate non-compliant behavior, and determine the degree of risk associated with the findings
  • Detect and advise management of potential compliance issues and recommend changes / enhancements to remediate unfavorable trends
  • Identify gap areas in monitoring and ensure gaps are remediated and proper monitoring is developed and implemented
  • Produce and deliver Risk Assessments on Branches and Sales Representatives
  • Participate in the development and delivery of training sessions with Compliance Staff and / or Branch Managers
  • Work with the Chief Compliance Officer (CCO) to track and report Compliance SLAs and KPIs
  • Work with the CCO to draft periodic reports to the Board and its Committees
  • Manage / administer information requests from third parties regulators, auditors, consultants
  • Cross trained to act as back-up for the License Advocate
  • Support Compliance Officers and Branch Audit staff
  • Other tasks or duties as assigned
  • Position Requirements :

  • Minimum of 3 years of relevant experience in the Financial Services Industry, preferably with exposure to a compliance environment
  • Bachelor’s degree in business, economics or a related field
  • Critical thinking,
  • Ability to make sound decisions
  • Good negotiation skills
  • Problem Solver
  • Planning & Organizational Skills
  • Proven dedication to the internal / external customer’s needs
  • Honest, ethical and trustworthy attitude
  • Demonstrated focus on results and business / operational improvements
  • Desire to work in a team environment, in multiple different capacities
  • Good communication skills (verbal & written)
  • Strong MS Office skills (Word / Outlook / Excel)
  • Ability to become licensed Scholarship Plan Dealer representative and approved by regulators to licensed as a Branch Manager
  • Canadian Securities Course (CSC) an asset
  • We at Knowledge First Financial, are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported.

    We are dedicated to building a culture that reflects the diversity of our customers and communities in which we live and serve.

    If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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