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Compliance Analyst (Fixed Night Shift)

Job Category:

Administration / Corporate Services

Job Level:


Open Date:




Close date:


Client Industry:


Job Description and Qualification:


Prepare and deliver Committee/Board materials and presentations.

  • Assist in the preparation of forensic testing and quarterly compliance reports for Senior Management, CCOs and Oversight Committees, ie Compliance Survey, GCO quarterly report, tailored quarterly reports to legal entity CCOs
  • Assist in the maintenance and updates to Archer Regulatory Compliance Management System, including OSFI E-13 Testing and Monitoring Activities, Issues Management and tracking of CAPs (Corrective Action Plans)
  • Assist in the preparation of materials for quarterly compliance committee meetings, including standard and ad hoc reports on relevant compliance and other related matters, ie Assessment and Testing updates to the GA/Private Markets and MIM Operating Committees

Risk & Testing:

  • Assist with targeted assessments that are designed to identify and assess regulatory, compliance and business risks to which the company is exposed, including those related to portfolio management, firm trading, distribution, personal trading, and supervisory structure and oversight
  • Conduct assigned periodic, transactional and forensic testing
  • Assist in the development and execution of annual Compliance Test Plans

Other Compliance Responsibilities:

  • Maintain the GWAM & GA policy testing schedule
  • Maintain GWAM & GA Compliance Oversight database of monitoring, testing, reporting, filing and training activities and gather evidence to support completion and timeliness
  • Assist in validation testing of regulatory exam and audit findings
  • Assist in administration of the enhanced COE SharePoint Site
  • Provide input and maintenance for Archer initiatives: Issues and Testing and Monitoring modules
  • Assist in the preparation of metrics, training materials and presentations
  • Support enhanced reporting on Power BI