Branch Review Compliance Officer

Compliance Reviews/ Mostly Telework, with some travel required/ Permanent/Anywhere/Western Canada or Ontario. Start date: As soon as possible

Do you like having great autonomy in your role, and wish to work on various processes that have operational, IT, fraud, and financial components to name a few? The general audit team is hiring, and they are looking for someone that will help administer the Dealer’s branch review program.

As a Branch Auditor, you will be responsible for completing branch reviews of registered branch and sub-branch locations across Canada. The role generally requires the individual to act with a very high level of independence in carrying out their regular duties and administering the Dealer’s branch review program but may be called upon to assist in other Head Office compliance projects.

Main responsibilities include:

• Test for compliance with Dealer policies and procedures and regulatory requirements in accordance with the Dealer’s branch review program.

• Completing reviews of assigned registered locations, including conducting interviews with Branch Managers, Representatives, and their supporting staff.

• Ensure that policies and procedures and supervisory standards are maintained by Branch Managers at assigned branches.

• Ensure adequate training and education is provided to Representatives and their supporting staff with respect to regulatory and Dealer policies and procedures.

• Preparing and issuing branch review reports that document identified issues and working with the Branch Manager and/or Representative to address the noted deficiencies.

• Maintain regular communication with each branch/sub-branch and all associated Representatives following the branch review to ensure that all issues raised in the review are adequately addressed to close the review in a timely manner.

• At the request of Manager-Branch Audits, provide additional analysis in complex cases, identify potential solutions, and make appropriate recommendations to resolve compliance issues.

• Other duties as assigned.

 Your career path looks like this:

• At least 3-5 years experience in a compliance or branch audit function.

• Strong knowledge of the mutual fund industry, current regulatory rules, policies and procedures and industry guidelines as they relate to branch audits and best practices.

• Post secondary degree or diploma in business, finance, economics or other related discipline.

• Completion of the Canadian Investment Funds Course or Canadian Securities Course and Branch Managers Course and/or OPD/PDO is required.

• Excellent oral and written communication skills

• Willingness to travel across the western provinces (BC, AB and SK) and other areas as needed 

• Exceptional organizational and time management skills and the ability to work independently.

• Working knowledge of Microsoft Word, Excel, and Outlook.

• Experience and knowledge of Univeris is an asset.