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Compliance Analyst - risk management, audit and compliance systems

Job Type: Contract
Positions to fill: 1
Start Date: Oct 03, 2022
Job End Date: Apr 28, 2023
Pay Rate: Hourly: Negotiable
Job ID: 123348
Location: Vancouver
The primary responsibility of the Compliance Analyst/Senior Compliance Analyst is to assist with process development, testing, monitoring, and ensure processes and controls are well documented and risk based. The Compliance Analyst is also responsible for ensuring that compliance systems and frameworks are effective and efficient.  
This role requires executing on a corporate compliance program and requires a motivated individual with working knowledge of regulations and compliance code of conduct implications. 

Primary Resposnbilities
  • Responsible for Code of Conduct monitoring such as personal trading, outside activities, business courtesies and conflicts of interest
  • Monitor, research, and analyze a wide range of data to ensure corporate compliance objectives met
  • Provide advice and guidance to employees on the Code and related policies and procedures including responding to Employee personal trading requests and reports made under the Code.
  • Perform testing on new Code of Conduct platform to ensure fit for use
  • Liaise with individuals in other business units to research and resolve compliance-related issues
  • Document compliance reviews and remedial actions taken
  • Prepare periodic compliance reports 
  • Respond to compliance-related inquiries 
  • File routine regulatory reports with applicable regulatory bodies 
  • Assist in establishing and implementing a compliance framework for changes to regulatory requirements
  • Develop and maintain policies, procedures and work instructions for the Compliance office 
  • Complete special projects as required
  • Monitor the organization's standards of conduct and ethical relationships with clients, employees, contractors, and other stakeholders
  • Promote an environment that reinforces the highest standards of ethics and integrity
  • ·A university degree in Compliance, Risk Management, Business Administration/Commerce, Law or related field
  • ·A minimum 3 years of experience in compliance, audit, risk management, or related experience
  • ·Relevant experience in a control function (e.g., compliance, risk, internal audit).
  • ·Experience with conducting compliance reviews
  • ·Experience with code of conduct monitoring
  • ·Strong financial and business acumen
  • ·Excellent written and verbal communication skills - ability to articulate findings/views in a clear and concise manner to colleagues, management, and portfolio management groups
  • ·Excellent organizational skills and attention to detail
  • ·Demonstrated analytical and problem-solving skills.
  • ·Proficiency with Microsoft Office products
  • Experience in the financial industry
  • Working knowledge of industry standards and best practices relating to financial instruments, investment strategies, risk management, operational due diligence, and regulatory compliance
  • Familiar with privacy legislation
  • Familiar with FCA and GDPR regulations
  • Successful completion of a CPA, CFA or FRM would be an asset
  • Strong interpersonal and relationship management skills.