About the role

Compliance Analyst supporting regulatory compliance and risk management in Canadian wealth management. Analyzing data and collaborating with business units to uphold compliance standards.

Responsibilities

Review client and compliance documentation to identify potential policy violations and compliance risks
Analyze and reconcile financial data, including journal entries and account activity, to ensure accuracy and regulatory adherence
Support special projects and initiatives aimed at improving compliance processes and implementing new regulatory requirements including planning, modeling, and testing
Research and analyze new legislative and regulatory updates from bodies like the CIRO and CSA to assess their impact on firm’s systems and procedures
Collaborate with various business units, including operations, Finance, and Product, to provide guidance on compliance requirements and resolve issues
Prepare compliance reports and documentation using Excel and data analysis tools
Responsible for creating and maintaining compliance training materials, documentation, and reference tools as it pertains to projects, controls, and new implementations
Support internal audits and regulatory examinations as required

Bachelor’s degree or Diploma in Business, Finance, Accounting, or a related field
Completion of the Canadian Securities Course (CSC) or Investment Funds in Canada (IFC) required
3–5 years of experience in financial services, insurance, financial analysis, or administrative roles
Strong analytical and research skills to gather, interpret, and summarize compliance information
Strong knowledge of Canadian account types (RRSP, TFSA, RESP, etc.) and their associated regulatory requirements
Familiarity with Canadian regulatory frameworks considered an asset.
Solid understanding of accounting principles, including journal entries and debit/credit flows
Advanced proficiency in Microsoft Excel, including data analysis, pivot tables, and reporting functions
Experience with SQL or BI Tools for data extraction, analysis and visualization is an asset
Strong problem-solving, and research skills with the ability to work through complex or ambiguous situations and large datasets
Highly organized with exceptional attention to detail. Excellent written and verbal communication skills
Fluent communication skills in English are required and bilingual skills in French are an asset

Competitive compensation package that rewards and recognizes individual contributions
Excellent health, dental and insurance benefits to meet the diverse needs of our employees
Generous vacation time, fitness benefit, parental leave top-up options
Matching contributions to our retirement program
Commitment to the continuous improvement of our staff through learning & development and an education assistance program
Regular social events to foster teamwork