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Compliance Analyst

October 14 2019
Industries Bank, Insurance, Financial services , Consulting services
Categories Accounting, Finance, Legal, Paralegal, Project Management, Business Analysis, Management, Consulting, Forensic accounting, Fraud, Financing, Investment, Merger & Acquisition, Administrative, Public, Regulatory, Govt., Banking, Finance, Securities, Management, Administration, Accounting, Finance, Legal, Paralegal, Management, Consulting
Victoria, BC

Looking for a challenging and rewarding career in a world-class organization? Bring your expertise and analytical skills to BCI's Compliance team! This role monitors, researches and analyzes a wide range of data to ensure corporate compliance objectives (e.g. pooled fund policies, regulations etc.) are met while promoting an environment that reinforces the highest standards of ethics and integrity.

DEPARTMENT DESCRIPTION

The Compliance Office provides reasonable assurance to Executive Management and the Board that effective compliance measures are in place, well understood and respected by all employees. They are responsible for internal compliance monitoring related to investment policies and adherence to BCI's Code of Ethics & Professional Conduct (the "Code") and monitoring and reporting on regulatory compliance (insider reporting, take-over bids, SEC filings, suppression of terrorism filings, etc.). The team implements compliance measures, conducts surveillance testing, undertakes compliance reviews, and provides compliance awareness training to the corporation.

POSITION DESCRIPTION

Reporting to the Manager, Compliance, the Compliance Analyst (Private Markets and Corporate Affairs) is responsible for process development, testing and monitoring, training, ensuring processes and controls are well documented, and compliance systems and frameworks are effective and efficient. The role requires executing on a private markets compliance program and requires a motivated individual with working knowledge of regulations and compliance implications of private market investment activity. The role also requires executing on a corporate ethics and compliance program with respect to BCI's Code of Ethics & Professional Conduct.

QUALIFICATIONS

Must have:

  • A university degree in Compliance, Risk Management, Business Administration/Commerce, Law or related field
  • Minimum 2 years of experience in compliance & ethics, audit, investigations or related experience
  • Exposure to audit or compliance programs
  • Experience with conducting compliance reviews
  • Excellent analytical skills
  • Strong financial and business acumen
  • Excellent written and verbal communication skills
  • Excellent organizational skills and attention to detail
  • Proficiency with Microsoft Office products
  • Experience delivering training or orientation programs

Preferred:

  • Experience in the financial industry
  • Experience with internal investigations
  • Successful completion of the Canadian Securities Course, or commitment to complete upon hire
  • Exposure to over-the-counter and exchange-traded derivatives
  • Working knowledge of order management systems
  • Familiar with privacy legislation, financial industry regulations and marketplace rules

PRIMARY RESPONSIBILITIES

  • Monitors, researches and analyzes a wide range of data to ensure corporate compliance objectives (e.g. pooled fund policies, regulations, etc.) are met
  • Performs periodic compliance audits of BCI's pooled fund policies and compliance with regulations
  • Provides 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
  • Maintains and monitors the effectiveness of compliance rules in the Order Management System
  • Liaises with individuals in other business units to research and resolve compliance-related issues
  • Documents compliance reviews and remedial actions taken
  • Prepares periodic compliance reports
  • Responds to compliance-related inquiries
  • Files routine regulatory reports with applicable regulatory bodies
  • Assists with non-routine regulatory filings
  • Assists in establishing and implementing a compliance framework for all new pooled funds and accounts and changes to regulatory requirements
  • Develops and maintains policies, procedures and work instructions for the Compliance Office
  • Continually assesses the efficiency of compliance monitoring activities and optimizes systems and processes when warranted
  • Completes special projects as required
  • Monitors the organization's standards of conduct and ethical relationships with clients, employees, contractors, and other stakeholders
  • Participates in investigations on allegations of possible misconduct or unethical activity, and ensures appropriate remedial actions are taken to mitigate the risk of future breaches of the organization's policies and procedures
  • Promotes an environment that reinforces the highest standards of ethics and integrity

 

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