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About the Role

As the Compliance Analyst, you will support the execution of the CFIS Compliance Branch Review program. You will build partnerships across the organization to strategically identify and test regulatory controls, presenting findings and recommendations to ensure compliance objectives are met. You enjoy working independently while contributing to the team's overall success.

Responsibilities

• Planning, leading, and executing mutual fund distribution reviews and investigations.
• Writing comprehensive reports and escalating issues to senior management.
• Contributing to the branch review program and framework for all regulatory requirements.
• Supporting the creation of procedural documentation and ensuring testing controls are recorded and maintained in a central repository.
• Monitoring compliance activities to identify gaps and proactively engage with business partners to ensure issues are addressed.
• Escalating any significant breaches.
• Collaborating with business partners to plan and ensure effective implementation of regulatory requirement solutions.
• Training and coaching stakeholder teams to solicit and document branch review requirements, identify business process issues and risks, and investigate and recommend solutions.

Requirements

• Three years of mutual fund and/or compliance experience.
• Two years of experience in audit or a related field.
• Completed applicable securities course(s), including the Canadian Securities Course (CSC), Canadian Investment Funds Course (CIFC), Branch Managers Course (BM), Branch Compliance Officer Course (BCO) or equivalent.
• Strong knowledge of relevant national instruments, including CIRO (Canadian Investment Regulatory Organization) requirements and related regulations.
• You will travel regularly.
• Detail-oriented work requiring a high degree of mental concentration for extended periods.
• Subject to a background check as a condition of employment.

Skills

• Innovative mindset to improve operational efficiencies.
• Ability to influence change with a primary focus on client needs.
• Critical thinking skills to validate assumptions, evaluate arguments, draw conclusions, recognize trends, and proactively propose solutions.
• Strong communication skills to clearly convey messages and explore diverse points of view.
• Ability to build trusting relationships and provide guidance to support the development of colleagues.

Location

• Hybrid

Work Type

• Regular Full-Time
• Hybrid (2 days in office)

Experience Level

• 3 years of mutual fund and/or compliance experience
• 2 years of experience in audit or a related field

Education Level

• Post-secondary degree
• Completed applicable securities course(s), including the Canadian Securities Course (CSC), Canadian Investment Funds Course (CIFC), Branch Managers Course (BM), Branch Compliance Officer Course (BCO) or equivalent.

Salary/Compensations

• $60,574 - $100,956

Benefits

• Training and development opportunities
• Flexible work options
• Paid time off
• Physical and mental health programs
• Supportive workplace culture
• Paid volunteer days
• Competitive salary and incentive programs
• Comprehensive total rewards package
• Group retirement savings plans
• Pension
• Health and wellness coverage
• Dental coverage
• Disability coverage
• Life coverage
• Mental health support
• Employee assistance program

About the Company

• CGL is a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society.
• We prioritize our people to ensure a strong culture and development opportunities that enable our team to thrive and live our purpose.
• We work with people who care passionately about you, our clients, and our communities.