Compliance Analyst
Role Overview
Temporary Compliance Analyst position with IA Clarington supporting the Compliance Group's oversight, monitoring, analysis, administration, and reporting.
The work focuses on securities regulations, including National Instruments 81-102, 81-105, and 81-106, along with internal policies and procedures.
The assignment is based in Toronto, starts immediately, and ends in March 2027.
Key Skills for This Role
Full Job Posting
Role overview
Temporary Compliance Analyst position with IA Clarington supporting the Compliance Group's oversight, monitoring, analysis, administration, and reporting.
The work focuses on securities regulations, including National Instruments 81-102, 81-105, and 81-106, along with internal policies and procedures.
The assignment is based in Toronto, starts immediately, and ends in March 2027.
Responsibilities
- Review marketing materials and communications; assess sales and event requests; monitor promotional activities and gifting for compliance.
- Review corporate website and social media accounts; research securities rules and policies; document findings and required follow-up.
- Help update policies and procedures, support oversight of new products, and assist with employee compliance training.
- Maintain compliance records, identify recurring issues, escalate significant matters, and support monitoring, testing, reporting, and projects.
Candidate requirements
- Bachelor's degree in a relevant field.
- Analytical thinking, problem-solving, attention to detail, organization, initiative, investigative thinking, and sound judgment.
- Ability to research and interpret regulations, apply them to business situations, document findings, and escalate issues appropriately.
- Clear written and verbal communication, teamwork, professionalism, reliability, integrity, and interest in financial services compliance.
- Proficiency in Microsoft Excel, Word, and PowerPoint.
Workplace
- The employer describes the work environment as hybrid.
Benefits
- The employer mentions learning and development, an inclusive work environment, and flexible access to workspaces.
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