Risk & Compliance Manager

Role Description

The Risk & Compliance Analyst works in the second line of defence and brings both experience and knowledge of regulatory requirements in respect of Compliance, Risk, Surveillance and other applicable regulatory areas. Practical experience and achievements in similar roles will demonstrate their ability to provide insight to the regulatory risk environment and their ability to advise and challenge the business across the core elements of the compliance framework. While FNZ is technology business, the role requires wide financial services industry experience, ideally within a fast-paced regulated environment with exposure to Canadian/US regulations.
 

The Risk & Compliance Analyst will provide support for business activities conducted by FNZ Canada ensuring that internal platform and operational teams are proactively addressing regulatory requirements to ensure the Canadian business is compliant with applicable regulations.

This role reports to the Head of Compliance, Canada and will have exposure to and interactions with senior stakeholders within the organization, FNZ’s clients’ operational, risk and compliance teams, regulatory information impacting the overall compliance environment and reporting on the effectiveness of the compliance program and researching of emerging risks and regulatory change management. In addition, this individual will provide guidance and consultation with multiple teams within the business and technology units, fostering an environment of excellence and continuous learning.

Role Responsibilities

• Research, document and manage current and emergent regulatory rules and requirements and communicate in business ready terms to internal and external teams, partnering with the business to identify and evaluate risks and adherence to regulatory expectations and requirements.

• Support the Head of Compliance, Canada in the development, enhancement and governance of the compliance management program within the business unit for existing and new clients.

• Support successful on-boarding of new customers to the FNZ platform.

• Partner with key FNZ groups such as operations, risk and 1st line of defense to implement any changes to rule, and regulations and provide advisory support to FNZ internal forums and business units

• Partner with the business and our customers to ensure that platforms are end-to-end compliant.

• Participate in internal control reviews and provide guidance and practical solutioning on governance and controls.

• Stay apprised of industry best practices and regulatory expectations to keep FNZ’s compliance program evergreen.

• Collaborate with business lines and North American Compliance team to ensure timely remediation of compliance related issues when identified by regulators, internal audit, and other stakeholders.

• Support regulatory approvals/non-objections of FNZ platforms for our customers (e.g. CIRO, OSC, FINTRAC, FCAC)

Experience Required

Primary requirements

• 5+ years previous experience in a securities, banking or financial services compliance role with prior service with a regulator as a plus.

• Must possess broad knowledge of all areas of Canadian compliance, including financial operations and reporting, trading and business compliance.

• Excellent written skills and ability to communicate effectively.

• Ability to analyze, present and report information in a clear and concise manner. Ability to build and maintain effective internal and external relationships. Ability to handle complex issues and escalate as needed acting with a sense of urgency, discretion and professionalism.

• Ability to multi-task and prioritize work appropriately.

• Working knowledge of regulatory and compliance risk methodology and standards.

• Nice to have: working knowledge of compliance software programs and/or programming requirements (e.g., SmartsBroker, Actimize, Bloomberg AIM, Charles River Development)

• Professional or industry qualifications are a plus.

What FNZ offers:

• A competitive base salary, and paid time off.  

• FNZ will match pension plan contributions at 150%, up to 4% total Employee Contribution. 

• Employer-paid medical, dental and vision insurance, and more. 

• We are mission-led - work at the heart of a purpose-led organization where you can be proud of the impact you make, every day. Where you’ll transform the way over 20 million people invest, making wealth management more accessible, sustainable and transparent to more people.

• Learning & development – Placing emphasis on a willingness to learn, to think differently, to be creative and to help drive innovation.

• Be part of a highly successful, rapidly growing, Pre-IPO global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies

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