Compliance Officer

The Compliance Officer assists in the setting up of internal controls and undertakes reviews to ensure employee and organizational compliance with applicable regulatory framework and legislative requirements for operation within the Financial Sector. The incumbent is to ensure that all departments within the company observe and operate according to the required regulatory guidelines.

• Ensure accuracy of computations and adequacy of risk appetites
• Review margin letters and corporate documentations
• File compliance reports with regulatory authorities

• Conduct compliance audits/assessments

Knowledge, Qualifications, Experience & Competencies:

• A Bachelor’s degree in Finance, Accounting, Business Administration or related qualifications
• A minimum of 3 years’ experience in a similar capacity with the financial services industry
• Broad knowledge and experience in the financial services industry, relevant Acts and regulations governing the sector
• Excellent negotiation skills as well as technical and professional writing skills
• Above average skills in Microsoft Suite applications

• Certified Anti-Money Laundering Specialist (CAMS) would be an asset

• General Knowledge of :
• Financial Institutions Act
• Securities Act
• POCA
• BOJ and FSC Guidance Notes

• Demonstrated ability to coordinate multiple deliverables within agreed timelines, be flexible, cope well under pressure, work on own initiative, show tactfulness, be confidential,  act with integrity and operate in a professional manner at all times, communicate effectively both orally and in writing.