Pay Rate: $40
Location: Toronto ON
Job Type: Contract
As a Compliance Analyst your duties will include but not be limited to:
- Conduct comprehensive records inventories for each Canadian Wealth Business Unit, ensuring adherence to established processes and guidelines.
- Collaborate with key stakeholders within the business to identify and document all records required to meet regulatory obligations for each business unit.
- Develop project plans, timelines, and schedules for conducting record inventories across Canadian Wealth Business Units, ensuring timely and efficient completion.
- Provide regular status reports to track the progress and completion of records inventories, keeping stakeholders informed and updated.
- Evaluate the effectiveness of existing processes for conducting record inventories and make recommendations for improvements to enhance efficiency and accuracy.
- Ensure compliance with the Enterprise Records Management Policy, aligning records inventory execution with the established guidelines and policies.
- 8+ years' experience working on projects involving implementation of new processes that involve organizational change within FI specifically Wealth Management
- Good knowledge of regulatory rule/obligations applicable to the Wealth Management Businesses (e.g., MFDA, IIROC, OSC, etc.)
- Good working knowledge of Microsoft Excel, PowerPoint, and Word
- Experience managing relationships with internal stakeholders and third-party vendors.
- Experience in the records and information management field.