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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
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.
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