Compliance Analyst - Branch Manager
3d ago

At Desjardins, we believe in equity, diversity and inclusion. We're committed to welcoming, respecting and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all.

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Job Level

NV-08As a Compliance Analyst - Branch Manager, you will support a group of Branch Managers by analyzing the business practices of advisors for the various independent distribution networks (SFL, DSFI and DSFIN).

The candidate will notably carry out tasks of tier-1 supervision of daily operations.

As a Branch Manager, you help design, institute and coordinate the compliance framework and enforce related rules. You help ensure that oversight measures such as officer and employee behaviours comply with the organization’s standards.

You analyze and help diagnose issues, provide advice in accordance with your discipline’s rules, and help develop recommendations and implementation plans.

You develop tools, methods and processes. Your projects and initiatives require extensive knowledge of your line of work.

You share ideas and help solve problems using your analytical skills, extensive knowledge of your line of business and ability to manage complexity.

You interact with stakeholders working in other fields.

You provide discipline-specific support to your unit, clients and partners.

General Information on the Position

Main Responsibilities

Identify, input, analyze and interpret data to inform management decision-making and monitor the application of management policies and practices. Make recommendations

Conduct research, studies and analysis to update recommendations and monitor business line activities

Analyze risks and write reports. Prepare recommendations and provide advice on how to implement them

Help prepare and propose action plans to address issues in accordance with rules and parameters

Help your unit carry out activities and initiatives to balance business needs, requirements and best practices

Help practitioners interpret and implement compliance programs, policies, standards and procedures.

Other working conditions

Work place : Currently regular telework because of the pandemic. Position located in Toronto. The work arrangement for the position is hybrid work #LI-Hybrid

Number of jobs available : 1


Bachelor’s degree in a related field

A minimum of two years of relevant experience in financial Services Industry

Please note that other combinations of qualifications and relevant experience may be considered

One of the following courses must have been completed :

The Canadian Investment Funds Course Exam administered by the IFSE Institute

The Canadian Securities Course Exam administered by CSI Global Education Inc

The Investment Funds in Canada Course Exam administered by CSI Global

Branch Managers’ Course Exam offered by the CSI Global Education Inc.

Mutual Fund Branch Managers’ Course Exam offered by the IFSE Institute.

Branch Compliance Officers Course offered by the CSI Global Education Inc.

Specific knowledge

Knowledge of the legislation, rules and regulations applicable to the financial products and services industry

Knowledge of French (an important asset)

Strong communication skills in English, both oral and written

Desjardins Cross-sector skills

Action oriented, Customer Focus, Differences, Nimble learning

Key competencies for the job

Business insight, Complexity

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