The Compliance and Quality Analyst role will identify and develop opportunities that improve quality assurance processes through observations, interviews, process review and analysis of quality reporting and results for Plan Sponsor Services.  This position will report to the Assistant Audit Manager.


  • Manage and maintain Group Customer’s corporate obligations related to compliance, including the CMS Database, and to review and prepare reports about CMS, Outsourcing, Anti-Money Laundering and any other required reports in a clear and accurate manner and to deadline.
  • Educate and keep Group Customer informed about external and internal compliance requirements and developments, including legislation, tax, privacy, and internal Corporate requirements. Provide timely and well-reasoned compliance guidance on products and processes in order to assist internal customers to fulfill Group Customer’s purpose “To Provide Financial Security and Inspire Healthy Living”.
  • Work with Team Leaders to identify potential enhancements, to provide feedback or to make recommendations with regards to Quality Assurance policies, practices and procedures. Compile and analyze quality review findings for applicable business units in order to identify trends, areas of concern and impact.
  • Recommend changes to training, resource materials, practices, procedures and checklists based on Quality review findings.
  • Contribute to monthly, quarterly and annual quality review reports.
  • Manage the Group Division’s CSAE 3416 annual report, working with Corporate Compliance, Deloitte, Internal Audit, and business areas as needed.
  • Maintain a central repository of quality issues related to compliance and governance for Plan Sponsor Services and the steps involved to resolve issues and mitigate similar errors in the future
  • Researching and monitoring legislative, tax, and other compliance developments, identified by Corporate Compliance analyzing their implications, and working with affected departments within Plan Sponsor Services to develop appropriate responses.
  • Perform random audits of the quality assurance processes to ensure they are relevant and being followed
  • Collaborating with Risk and Compliance as well as Internal Audit to proactively mitigate risks resulting from quality issues.
  • Provide support to Management and staff by replying in a timely manner to day-to-day compliance questions concerning our products and services.
  • Collaborate with Compliance/Legal on compliance and privacy issues
  • Provide Support and guidance to Plan Sponsor Services areas regarding privacy and compliance questions
  • Coordinate with Risk & Controls to incorporate controls into first line processes and procedures

Qualifications and Competencies:

  • Understands the business environment and customer needs, identifies business opportunities that create competitive advantage
  • Fosters an environment that encourages new approaches, challenges the status quo and inspires creativity
  • Using credibility and trusted advice, fosters collaborative relationships across functions and the business and facilitates cooperation
  • Possesses a continuous improvement orientation
  • Understanding of employee benefits market and its dynamics (trends, legislation, and competitive environment)
  • Winning attitude; strong commitment to success; effective communicator amongst varied audiences and challenging circumstances
  • More than two years and up to and including four years’ experience
  • Education/skills acquired through completion of a post-secondary degree or equivalent (e.g. non-specialized bachelor degree or business-related community college diploma).
  • CPA designation is considered an asset

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