Senior Compliance Governance & Operations Analyst

Senior Compliance Governance & Operations Analyst (4210)

Work Location: Toronto, Ontario, Canada
Hours: 37.5
Line Of Business: Compliance
Pay Details: $76,800 - $115,200 CAD

The Senior Compliance Governance & Operations Analyst will provide a range of research, analytical and/or operational process support within a defined area of the function. They will also support implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs and may interact with key stakeholders and third‑party service providers to deliver Compliance programs that satisfy regulatory requirements.

• Provide compliance research, evaluation, operational, reporting and/or analytical support in oversight and control functions to internal compliance partners in a timely manner.
• Co‑coordinate requests to and from business compliance partners and track and report compliance function initiatives and programs.
• Prepare summaries, communications, reports and presentations for management, regulators and other internal and external stakeholders.
• Respond to inquiries from CIRO or any other regulator.
• Recommend responses to enterprise compliance program questions and promptly escalations of sensitive issues.
• Analyze data and draw conclusions to meet program health reporting requirements.
• Analyze emerging trends related to regulatory changes, reporting or other departmental functions and provide recommendations to enhance or rectify compliance gaps, issues and enhancements.
• Proactively identify matters requiring additional review or escalation and liaise with appropriate staff to resolve.

• Contribute to various activities and processes as assigned.
• Adhere to enterprise frameworks or methodologies that relate to activities for own business area.
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate.
• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area.
• Protect the interests of the organization – identify and manage risks, and escalates non‑standard, high risk activities as necessary.
• Conduct internal and external research projects; support the development and delivery of presentations and communications to management or broader audience.
• Conduct reporting and or meaningful analysis at the functional or enterprise level and make recommendations to assess the effectiveness of programs, policies, practices.
• Monitor service, productivity and assess efficiency levels within own function and implement continuous process or performance improvements where opportunities exist.
• Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others.
• Identify, recommend and effectively execute standard practices applicable to the discipline.
• Adhere to internal policies, procedures and applicable regulatory guidelines.
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts.
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
• May lead work streams as a project lead or subject matter expert for small scale projects or initiatives in accordance with project management methodologies.

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues.
• Support the team by continuously enhancing knowledge and expertise in own area and participate in knowledge transfer within the team and business unit.
• Keep current on emerging trends and developments and grow knowledge of the business, related tools and techniques.
• Participate in personal performance management and development activities, including cross‑training within own team.
• Keep others informed and up‑to‑date about the status or progress of projects and or all relevant information related to day‑to‑day activities.
• Contribute to the success of the team by…