Compliance Officer

Desjardins - Toronto, ON (il y a 30+ jours)

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Desjardins Group is the largest cooperative financial group in Canada, and one of the largest employers in the country. It offers a full range of financial products and services and is home to a wealth of expertise in property and casualty insurance, life and health insurance, wealth management, services for businesses of all sizes, securities brokerage, asset management, venture capital, and secure, leading-edge virtual access methods.

Job Level

NV-09

The person in this position acts as a resource person for the organization’s units and stakeholders with respect to various aspects of compliance. The incumbent performs analyses and helps develop, update, implement and monitor compliance actions plans, programs, solutions and tools. He/she supports members in his/her unit with carrying out activities or assignments aimed at ensuring consistency and balance between business needs and compliance with requirements and best practices.

Reporting to the Manager of Life and Health Insurance and Savings Distribution Compliance Department, the candidate will have to carry out compliance audits for the different distribution networks across Canada for Individuals network.

Main Responsibilities

Perform compliance audits in financial centres and sub-branches for independent distribution networks (DSFI, DSFIN, DAN) in the provinces of Ontario, Saskatchewan, Manitoba, Alberta and BC.
Supports clients and stakeholders, where applicable, with the application of compliance programs, policies, standards and procedures.
Represents his/her unit in working groups as required.
Supports members in his/her unit in carrying out various project-related activities.
Takes part in the updating and application of compliance program processes, procedures and tools.
Extracts, compiles, researches and analyzes data regarding various aspects of compliance.

Other working conditions

Travel : 75% of the time
Temporary work : scheduled to end on March 6th, 2021
Number of job available : 1

Qualifications

Bachelor’s degree in a related field
A minimum of four years experience or association with the Financial Services Industry (Mutual Funds & Insurance)

Please note that other combinaisons of qualifications and relevant experience may be considered

One of the following courses must have been completed:
The Canadian Investment Funds Course Exam administered by the IFSE Institute.
The Canadian Securities Course Exam administered by CSI Global Education Inc.
The Investment Funds in Canada Course Exam administered by CSI Global
Candidate must have a full valid driver's license
Hold the Mutual Fund registration (IFIC) plus the "Exempt Market product" course OR the "Canadian Securities Course" (CSI)
For vacant positions available in Quebec, please note that knowledge of French is required

Specific knowledge

Knowledge of the legislation, rules and regulations applicable to the financial products and services industry
Excellent communication skills (written and verbal) in English
Proficient speaker, complete proficiency in English

Desjardins Cross-sector skills

Action oriented, Collaborates, Customer Focus, Innovation

Key competencies for the job

Action oriented, Ambiguity, Communicates effectively, Conflict, Decision quality, Interpersonal Savvy, Plans and aligns

Work Location

95 St-Clair Avenue West Toronto

Trade Union

Non Syndiqué

Unposting Date

2020-02-19

Job Family

Legal Affairs (FG)