Jr. Compliance Analyst to support compliance testing for mutual funds for a large insurance client -
2 Roles - 1 Bilingual (French / English) and 1 English Only
Duration : End of Dec (possibility of extension)
Location : Remote
Branch Examiner is responsible for performing ongoing and periodic analysis and supporting the Market Conduct Audit (MCA) program for various distribution channels.
The incumbent will assist with compliance testing, and action plan resolutions for mutual fund and insurance.
Must Have Skills :
- 1-3 years’ experience as a Compliance Analyst working with Mutual Fund Compliance
- Experience assisting with compliance audits or tests
- High proficiency with technology : Microsoft Excel, MS Sharepoint, Access, Univeris, Customer Service Workbench (CSW)
- Knowledge of MFDA Policiesand Bulletins, Securities and Insurance laws and regulations, and the ability to apply these in practical situations
- Knowledge of life / health / wealth product lines
- Bilingual (English / French)
Nice To Have Skills :
- University or College degree related to accounting, business or compliance
- Understanding of commission arrangements, advisor contracts and the code of business practice for advisors
- Successful completion of IFIC Course
- Successful completion of LLQP Course
- Salesforce experience
Job Description :
- Assist with execution of Market Conduct Audits, including conducting advisor interviews and desk file audits against mutual fund and life & health insurance regulatory requirements, and dealer policies and procedures
- Completing location visits for registered advisor business addresses
- Conduct pre-audit data collection and analysis for Market Conduct Audits
- Actively follow up on outstanding audit findings
- Support the maintenance and continuous improvement of the Market Conduct Audit program
- Assist with daily review of the centralized team mailbox to address inquiries
- Perform other duties and special projects as assigned time to time
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