Compliance Analyst (Branch Review)
Top Benefits
About the role
Company: CGL
Department: CFIS Compliance
Employment Type: Regular Full-Time
Work Model: Hybrid
Language: This role operates in English.
The Opportunity We are a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. That’s why we prioritize our people, to ensure we provide a strong culture and development opportunities which enables our team to thrive and to live our purpose. The best part is that you will work with people that care passionately about you, our clients, and our communities.
As the Compliance Analyst you will support the execution of the CFIS Compliance Branch Review program. You will build partnerships across the organization to strategically identify, test regulatory controls, including presenting findings and recommendations to ensure compliance objectives are met. You enjoy working independently, while contributing to the Team’s overall successful implementation of goals and objectives.
How You Will Create Impact
- Planning, leading and executing mutual fund distribution reviews and investigations, writing comprehensive reports, and escalating issues to senior management
- Contributing to the branch review program and framework for all regulatory requirements.
- Supporting the creation of procedural documentation and ensuring testing controls are recorded and maintained in a central repository.
- Monitoring compliance activities to identifying gaps, proactively engage with business partners to ensure issues are addressed and escalate any significant breaches.
- Collaborating with business partners to plan and ensure effective implementation of regulatory requirement solutions.
- Training and coaching stakeholder teams to solicit and document branch review requirements, identify business process issues and risks, and investigate and recommend solutions.
How You Will Succeed
- You have an innovative mindset to improve operational efficiencies and ability to influence change, with a primary focus on client needs.
- You use critical thinking skills to validate assumptions, evaluate arguments, draw conclusions, recognize trends and proactively propose solutions.
- You have strong communication skills to clearly convey messages and explore diverse points of view.
- You build trusting relationships and provide guidance to support the development of colleagues.
To Join Our Team
- You have three years of mutual fund and/or compliance experience, including two years of experience in audit or a related field.
- You have a post-secondary degree.
- You have completed the applicable securities course(s), including the Canadian Securities Course (CSC), Canadian Investment Funds Course (CIFC), Branch Managers Course (BM), Branch Compliance Officer Course (BCO) or equivalent.
- You have strong knowledge of relevant national instruments, including the CIRO (Canadian Investment Regulatory Organization) requirements and related regulations.
What You Need To Know
- You will travel regularly.
- Detail oriented work that requires a high degree of mental concentration for extended periods of time.
What's in it for you?
- Training and development opportunities to grow your career.
- Flexible work options and paid time off to support your personal and family needs.
- A holistic approach to your well-being, with physical and mental health programs and a supportive workplace culture.
- Paid volunteer days to give back to your community.
- In addition to our competitive salary and incentive programs, eligible employees also benefit from a comprehensive total rewards package including group retirement savings plans, pension and benefits (e.g., health and wellness, dental, disability and life coverage), mental health support and an employee assistance program.
About Co-operators
As a leading Canadian financial services co-operative, Co-operators offers multi-line insurance and wealth products, services, and advice to build financial strength and security. With over $56 billion in assets under management, we provide financial solutions and security through property and casualty (P&C) insurance, life insurance, wealth management, institutional asset management and brokerage operations. We are governed by member organizations, including co-operative organizations, credit union centrals and representative farm organizations.
We are rooted in the idea that together, we are stronger, safer, and more resilient. Our vision to be a catalyst for a sustainable society is reflected in everything we do, including our community investment programs, strategic partnerships, and active volunteerism. We champion and fund the development of community-oriented co-operatives and social enterprises, invest for positive impact, and work hard to contribute to communities across Canada by supporting financial literacy, mental health, flood safety, and sustainability initiatives and programming.
With over 600 locations across the country, over 6,000 employees and a dedicated financial advisor network of over 2,500 licensed insurance representatives, we remain true to our roots: putting the needs of our clients and our communities first.
Our response to COVID-19 As an essential service, we took immediate steps to ensure the health and safety of our people, clients, and communities. We’re following the direction of Health Canada as we roll out a phased return to corporate and local offices across the country. If you have applied for a posted role, a recruiter will be in touch with an update. Currently, all interviews are being conducted remotely.
Compliance Analyst (Branch Review)
Top Benefits
About the role
Company: CGL
Department: CFIS Compliance
Employment Type: Regular Full-Time
Work Model: Hybrid
Language: This role operates in English.
The Opportunity We are a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. That’s why we prioritize our people, to ensure we provide a strong culture and development opportunities which enables our team to thrive and to live our purpose. The best part is that you will work with people that care passionately about you, our clients, and our communities.
As the Compliance Analyst you will support the execution of the CFIS Compliance Branch Review program. You will build partnerships across the organization to strategically identify, test regulatory controls, including presenting findings and recommendations to ensure compliance objectives are met. You enjoy working independently, while contributing to the Team’s overall successful implementation of goals and objectives.
How You Will Create Impact
- Planning, leading and executing mutual fund distribution reviews and investigations, writing comprehensive reports, and escalating issues to senior management
- Contributing to the branch review program and framework for all regulatory requirements.
- Supporting the creation of procedural documentation and ensuring testing controls are recorded and maintained in a central repository.
- Monitoring compliance activities to identifying gaps, proactively engage with business partners to ensure issues are addressed and escalate any significant breaches.
- Collaborating with business partners to plan and ensure effective implementation of regulatory requirement solutions.
- Training and coaching stakeholder teams to solicit and document branch review requirements, identify business process issues and risks, and investigate and recommend solutions.
How You Will Succeed
- You have an innovative mindset to improve operational efficiencies and ability to influence change, with a primary focus on client needs.
- You use critical thinking skills to validate assumptions, evaluate arguments, draw conclusions, recognize trends and proactively propose solutions.
- You have strong communication skills to clearly convey messages and explore diverse points of view.
- You build trusting relationships and provide guidance to support the development of colleagues.
To Join Our Team
- You have three years of mutual fund and/or compliance experience, including two years of experience in audit or a related field.
- You have a post-secondary degree.
- You have completed the applicable securities course(s), including the Canadian Securities Course (CSC), Canadian Investment Funds Course (CIFC), Branch Managers Course (BM), Branch Compliance Officer Course (BCO) or equivalent.
- You have strong knowledge of relevant national instruments, including the CIRO (Canadian Investment Regulatory Organization) requirements and related regulations.
What You Need To Know
- You will travel regularly.
- Detail oriented work that requires a high degree of mental concentration for extended periods of time.
What's in it for you?
- Training and development opportunities to grow your career.
- Flexible work options and paid time off to support your personal and family needs.
- A holistic approach to your well-being, with physical and mental health programs and a supportive workplace culture.
- Paid volunteer days to give back to your community.
- In addition to our competitive salary and incentive programs, eligible employees also benefit from a comprehensive total rewards package including group retirement savings plans, pension and benefits (e.g., health and wellness, dental, disability and life coverage), mental health support and an employee assistance program.
About Co-operators
As a leading Canadian financial services co-operative, Co-operators offers multi-line insurance and wealth products, services, and advice to build financial strength and security. With over $56 billion in assets under management, we provide financial solutions and security through property and casualty (P&C) insurance, life insurance, wealth management, institutional asset management and brokerage operations. We are governed by member organizations, including co-operative organizations, credit union centrals and representative farm organizations.
We are rooted in the idea that together, we are stronger, safer, and more resilient. Our vision to be a catalyst for a sustainable society is reflected in everything we do, including our community investment programs, strategic partnerships, and active volunteerism. We champion and fund the development of community-oriented co-operatives and social enterprises, invest for positive impact, and work hard to contribute to communities across Canada by supporting financial literacy, mental health, flood safety, and sustainability initiatives and programming.
With over 600 locations across the country, over 6,000 employees and a dedicated financial advisor network of over 2,500 licensed insurance representatives, we remain true to our roots: putting the needs of our clients and our communities first.
Our response to COVID-19 As an essential service, we took immediate steps to ensure the health and safety of our people, clients, and communities. We’re following the direction of Health Canada as we roll out a phased return to corporate and local offices across the country. If you have applied for a posted role, a recruiter will be in touch with an update. Currently, all interviews are being conducted remotely.