COMPLIANCE ANALYST

Key Responsibilities

• Serve as the point of contact on the Compliance team to assist in the management of escalated customer complaints related to compliance matters.
• Conduct thorough investigations into the root causes of complaints, identifying trends and areas for improvement to prevent future occurrences.
• Collaborate with business stakeholders, to address complex complaints and mitigate potential risks.
• Assist with management and oversight of employee training on compliance matters.
• Serve as the point of contact for regulatory agencies and other third-party stakeholders for compliance related exams and reviews.
• Gather and prepare documentation and responses as required, including coordinating responses from other departments.
• Assist with implementation of corrective actions and recommendations resulting from regulatory examinations and other reviews.
• Work on other assignments and projects as requested.

Qualifications

Skills and Qualifications

• University education or equivalent
• At least 3 years of relevant work in the financial services industry
• Experience with complaint management, regulatory exams/audit management and project management is preferred
• Strong organizational, communication and project management skills
• Ability to maintain discretion when handling sensitive matters and information

Additional Information

All your information will be kept confidential according to EEO guidelines.

*Notice to Ontario Applicants – Momentum Financial Services Group is committed to accommodating applicants with disabilities up to the point of undue hardship during the recruitment, assessment, and selection process. If you are selected for an interview, please notify Momentum Financial Services Group if you require accommodation in respect of the materials or procedures used at any time during this process. If you require accommodation, we will work with you to determine how to meet your needs.

Note to Internal Applicants: All internal applicants are required to notify current manager regarding interest in applying for this role.