Compliance Analyst<p>Our client is a leading financial services company based in Hamilton, Ontario. Due to exciting growth, they are adding a Compliance Analyst to the team. Reporting to the Assistant Vice President of Compliance, the Compliance Analyst will be responsible for maintaining compliance policies and procedures while ensuring the organization remains in compliance with industry standards, regulations, and laws. <strong>This position is hybrid and requires 3 days per week onsite.</strong></p><p><br></p><p><strong>Key Responsibilities:</strong></p><p><br></p><ul><li><strong>Regulatory Compliance Assessments:</strong> Conduct assessments on processes and risks to ensure the effectiveness of mitigating controls and provide guidance on any deficiencies.</li><li><strong>Risk-Assessment, Monitoring, and Testing:</strong> Coordinate and perform activities to ensure internal compliance policies and regulatory requirements are being met.</li><li><strong>Identification and Escalation of Regulatory Risks:</strong> Identify regulatory risks and escalate significant compliance risks to management for prompt resolution.</li><li><strong>Investigations and Inquiries:</strong> Investigate, review, and prepare responses to complaints, investigations, and regulatory inquiries.</li><li><strong>Compliance Management System Administration:</strong> Support the administration of the Compliance Management System to track, and follow up with stakeholders to resolve identified gaps in controls.</li><li><strong>Technical Process Management:</strong> Oversee technical processes, including database development and requirement validation, ensuring alignment with stakeholders’ objectives.</li><li><strong>Policy and Procedure Development:</strong> Assist in the creation, maintenance, and implementation of compliance policies and procedures, providing recommendations for system, policy, and procedural enhancements.</li><li><strong>Compliance Initiatives Coordination:</strong> Plan and coordinate compliance-related initiatives such as quality assurance, risk and control assessments, and third-party evaluations.</li></ul><p><br></p>
