Sr. Compliance Officer to extract data and transfer into an Archer based platform for a large financial client.
Job Type: Contract
Positions to fill: 1
Start Date: May 23, 2022
Job End Date: Oct 24, 2022
Pay Rate: Hourly: Negotiable
Job ID: 118932
Location: Toronto
Title: Compliance Officer
Location: WFH - Flexible
Contract Duration: 6 Months
Overview: Support the delivery of core elements of the Compliance Management Plan as it relates to monitoring and surveillance on a timely and consistent basis. Provide education, advice, and recommendations to business partners to comply with the various laws, rules and ethical standards governing the securities industry.
Reponsibilities:
- Email monitoring, review of daily exception reports, follow up investigations and business/regulator generated enquiries.
- Provide a high level of service to internal clients, providing interpretive advice as to the application of complex securities regulations to various business scenarios.
- Respond to inquiries from firm employees, including Compliance staff, regarding compliance and related issues.
- Act as a strategic business partner with assigned business line management to identify compliance needs and develop and implement effective compliance programs addressing those needs, including development and revision of policies, procedures and written supervisory procedures.
- Support the Compliance Department on a variety of corporate initiatives to advise the project leaders on potential areas of risk and relevant regulatory considerations by conducting research on regulations, regulatory notices, and industry disciplinary actions.
- Act as a subject matter expert to assist Regulatory Affairs in responding to regulatory exams and inquiries.
- Support and/or lead other projects as assigned.
Must Haves:
- 4+ years of compliance or risk experience supporting financial business
- Advanced excel skills (vlookups)
- Monitoring and testing activities
Nice to have:
- Experience with Archer platforms
Location: WFH - Flexible
Contract Duration: 6 Months
Overview: Support the delivery of core elements of the Compliance Management Plan as it relates to monitoring and surveillance on a timely and consistent basis. Provide education, advice, and recommendations to business partners to comply with the various laws, rules and ethical standards governing the securities industry.
Reponsibilities:
- Email monitoring, review of daily exception reports, follow up investigations and business/regulator generated enquiries.
- Provide a high level of service to internal clients, providing interpretive advice as to the application of complex securities regulations to various business scenarios.
- Respond to inquiries from firm employees, including Compliance staff, regarding compliance and related issues.
- Act as a strategic business partner with assigned business line management to identify compliance needs and develop and implement effective compliance programs addressing those needs, including development and revision of policies, procedures and written supervisory procedures.
- Support the Compliance Department on a variety of corporate initiatives to advise the project leaders on potential areas of risk and relevant regulatory considerations by conducting research on regulations, regulatory notices, and industry disciplinary actions.
- Act as a subject matter expert to assist Regulatory Affairs in responding to regulatory exams and inquiries.
- Support and/or lead other projects as assigned.
Must Haves:
- 4+ years of compliance or risk experience supporting financial business
- Advanced excel skills (vlookups)
- Monitoring and testing activities
Nice to have:
- Experience with Archer platforms
