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Provide Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner
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Coordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs
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Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
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Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate
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Contribute to various activities and processes as assigned
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Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
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Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
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Protect the interests of the organization - identify and manage risks, and escalate non-standard, high-risk activities as necessary
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Conduct internal and external research projects; support the development / delivery of presentations / communications to management or broader audience
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Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
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Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exist
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Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others
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Identify, recommend and effectively execute standard practices applicable to the discipline
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Adhere to internal policies/procedures and applicable regulatory guidelines
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Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
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Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
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Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
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Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
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Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
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Participate in personal performance management and development activities, including cross training within own team
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Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
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Provide specialized analysis, non-standard reporting, and operational support to Compliance
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Require a comprehensive understanding of a range of product and services, processes, procedures, systems and concepts within their own and related areas of specialty
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Complete work within specifically defined parameters with guidance / direction from management as necessary
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Require solid knowledge of the Compliance function and interaction points with other related areas as well as regulatory issues/ requirements for jurisdictions supported
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Generally reports to a Manager
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Undergraduate degree required
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Relevant professional designations and/or certifications such as CSC and/or IFIC is required
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Basic knowledge of Equities, derivatives and Futures is required
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2 years of experience in financial services is preferred
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Relevant Trade Surveillance experience is preferred
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Knowledge of Canadian marketplace mechanism is preferred
