Overview

The Compliance Analyst conducts investigation and analysis to support conclusions concerning various compliance issues.  Duties include analytical review of transaction and trend reporting to identify whether a compliance exception or deficiency has occurred.  In addition, the Analyst may develop ad hoc analysis and reporting to deal with unusual or specific inquiries from management.

DUTIES INCLUDE:

  • Consolidate information, prepare or review system reports, client statements and other transactions for the purpose of assessing appropriateness and approval
  • Execute daily and monthly trend analysis to identify unusual trends requiring the application of various skill sets including understanding of sales practices, regulatory requirements, commissions and other incentives, and good financial planning principles.
  • Identify items of interest using a risk based approach
  • Follow up on items of interest with Branch Managers and/or Consultants.
  • Provide information and basic guidance on policy and procedure issues to Branch Managers, Consultants or Head Office staff on compliance matters.

QUALIFICATIONS:

  • 2-4 years experience in the securities/mutual fund industry, preferably with exposure to a compliance environment.
  • Completion of the Canadian Securities Course (CSC).  Completion of the Branch Manager’s Course (BMC) is also required within six months.  Certified Financial Planner (CFP) designation would be considered an asset.
  • Sound knowledge and experience with various types of investment products and investment platforms.
  • Strong written and oral communication skills.
  • Excellent organizational skills with the ability to prioritize and perform multiple tasks and deal with interruptions while working within strict deadlines.
  • Demonstrated proficiency with Microsoft Word, Excel and Access as well as internal IG client systems (SAS, DCA, Transact, Pathway etc.)