Compliance analyst

The person sought will be involved in the improvement, dissemination and execution of the main elements of the regulatory compliance framework through the implemented compliance and internal control programs.
Monitoring customers and transactions in the fight against money laundering and the recycling of proceeds of crime is also at the heart of this position.

We believe in teamwork, voluntary care and you will work closely with members of several departments.

The role of Compliance Analyst will consist of supporting the Head of Compliance and Head of Internal Controls in our Montreal office.

If this position interests you, don't hesitate to apply!

Advantages
- Temporary role of 6 months with potential for extension (entry into position on April 28)
- Fixed schedule from 8:30 a.m. to 5 p.m.
- A competitive salary;
- A flexible and stimulating work environment offering daily challenges and the opportunity to showcase your talents.

Responsibilities
The incumbent will report to the Head of Compliance and will have the following responsibilities:

- Actively participate in the management of regulatory changes and the ongoing maintenance of internal policies and procedures (compliance and RPCFAT);
- Collaborate on various regulatory programs and related controls, including registrations, conflicts of interest, code of conduct, compliance manual;
- Participate in the implementation of internal controls and their execution, and support continuous improvements as regulatory requirements and industry best practices evolve;
- Manage requests for information from business partners, as they relate to the regulatory compliance framework (e.g. due diligence);
- Prepare and carry out the filing or sending of reports necessary for regulatory requirements;
- Analyze control and exception reports and carry out the required follow-ups;
- Collaborate in the implementation of compliance programs and training in compliance and RPCFAT;
- Carry out transactional and client monitoring in the fight against RPCFAT;
- Participate in the overall risk assessment program in the fight against RPCFAT;
- Analyze cases of non-compliance, their causes, and work in collaboration with interested parties to resolve issues related to RPCFAT requirements;
- Monitor news and regulatory developments in the fight against RPCFAT to ensure that changes are communicated to stakeholders and that policies and procedures are updated;
- Collect, analyze and validate the data necessary for the production of quarterly reports intended for management on the program to combat RPCFAT and internal controls;
- Prepare documentation regarding new accounts and client file updates, while ensuring compliance;
- Maintain dashboards to understand and monitor the evolution of the level of exposure in terms of compliance and RPCFAT;
- Participate in one-off projects as needed and all other related tasks.

Qualifications
- Bachelor's degree in legal, business or accounting;
- Minimum of 3 years of regulatory compliance experience in the securities industry, ideally with the exempt market broker or portfolio manager registration categories (in private management or with multi-family offices would be an asset);
- Knowledge of key aspects of securities regulation, including Regulation 31-103 (e.g., suitability, financial reporting) and Regulation 45-106 (prospectus exemptions);
- Knowledge of RPCFAT (Proceeds of Crime Laundering and Terrorist Financing Regulations);
- Knowledge of the Trust and Savings Companies Act (an asset);
- Course on Securities Trading (an asset);
- CSI course on compliance (an asset);

- Good command of Word and Excel software;
- Knowledge of legal documents (estate, corporate charter, etc.) is an asset; Organizational skills and demonstrated ability to manage simultaneous priorities while respecting deadlines;
- Excellent analytical and synthesis skills;
- Ability to establish excellent working relationships with peers, colleagues, remote teams and people from all levels of the company;
- Diligence, diplomacy and discretion in the treatment of confidential information;
- Bilingual (French and English).

Summary
Are you interested in this position? Please send your application by email to dorine.sportouch@randstad.ca, morgane.gonsaud@randstad.ca and catherine.lague@randstad.ca and we will contact you shortly if your profile matches the criteria.

We look forward to speaking with you.

Human Forward !

Randstad Canada is committed to fostering a workforce reflective of all peoples of Canada. As a result, we are committed to developing and implementing strategies to increase the equity, diversity and inclusion within the workplace by examining our internal policies, practices, and systems throughout the entire lifecycle of our workforce, including its recruitment, retention and advancement for all employees. In addition to our deep commitment to respecting human rights, we are dedicated to positive actions to affect change to ensure everyone has full participation in the workforce free from any barriers, systemic or otherwise, especially equity-seeking groups who are usually underrepresented in Canada's workforce, including those who identify as women or non-binary/gender non-conforming; Indigenous or Aboriginal Peoples; persons with disabilities (visible or invisible) and; members of visible minorities, racialized groups and the LGBTQ2+ community.

Randstad Canada is committed to creating and maintaining an inclusive and accessible workplace for all its candidates and employees by supporting their accessibility and accommodation needs throughout the employment lifecycle. We ask that all job applications please identify any accommodation requirements by sending an email to accessibility@randstad.ca to ensure their ability to fully participate in the interview process.