Senior Compliance Analyst

Key responsibilities include:

Tier 2 Activities
Monitor email communications and social media for regulator risks to identify red flags or unusual activity.
Perform Tier 2 supervision duties assigned, which may include more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process.
Improve, develop, and maintain Tier 2 processes and workflows.
Assist with training and provide support to analysts and newly onboard team members on protocols and procedures.
Registrant Support
Provide guidance and support to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations.
Assist with resolving compliance-related issues.
Serve as a trusted resource for addressing inquiries related to firm policies, business practices and regulatory interpretations.
Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
Compliance Reviews
Participate in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes.
Support external regulatory reviews by preparing documentation, responding to requests and assisting in implementing follow-up actions or remediation.
Policy Awareness and Ongoing Learning
Maintain a current understanding of the firm’s internal policies and procedures, as well as applicable industry regulations and compliance trends.
Stay informed about regulatory changes and participate in training sessions or industry forums as appropriate.
Participating in other compliance and supervision-related projects and initiatives as assigned.

The ideal candidate will possess:

Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
A minimum of 2-5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.
Experience in a Tier 2 supervisory role is a strong asset
Experience in wealth management or other regulated industry is a strong asset.
Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals.
Strong attention to detail.
Excellent attitude and commitment to providing exceptional service.
Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
Strong problem-solving and critical thinking abilities.
Highly organized with a consistent and reliable work ethic.
Comfortable with ambiguity and able to manage a high volume of competing priorities.
Maintains the highest level of confidentiality.