Oakville ON
Job Type
Contract Full-Time

Position: Bilingual Jr. Compliance Analyst - JP5556

Duration: 1 year contract

Location: Oakville

Job Description:

  • Responsible for completing the review, supervision and final approval on behalf of the MFDA and IIROC Dealers for all advertising, sales communications, (including content distributed through electronic means), and co-op marketing requests and co¬op marketing requests for Advisors and Head Office. Ensure sales communications and co-op requests are compliant with regulatory requirements and company policy.
  • Produce a well-documented audit trail of the supervision process to evidence that reviews and approvals completed by the Sales Communication department were conducted in accordance with regulatory requirements.
  • Detect and report any concerns relating to Advisors' marketing and advertising activities that create risk for the Advisor, the Dealer, and the integrity of the brand and be able to identify those concerns that require escalation.
  • Administer the social media compliance monitoring tool. Complete initial reviews and approvals of all Advisors' Social Media profiles and posted content through the compliance tool for IIROC and MFDA Advisors for both static and active social media sites (Linkedln, Twitter Facebook).
  • Conduct ongoing social media supervision, for alerts received under the configured compliance policies for changes to profiles or content that have been flagged and maintain compliance workflow and incident logging.
  • Review and approve all Advisors website material for content managed through the Dealers approved website vendor(s) and custom websites. Monitor for changes to website content using the approved vendor(s) compliance tools. Maintain accurate digital records of the regulatory supervision audit trail and archived data.
  • Provide the Dealer's Advisors with high quality, accurate and timely compliance direction, advice and support and keep advisors informed of their ongoing compliance responsibilities and requirements.
  • Assist the Manager to develop and enhance corporate guidelines with respect to sales communications and co-op marketing supervision processes and remain well informed of industry rule changes.
  • Maintain the strength of the Compliance team and consistency in the application of the supervision process by actively participating in team meetings, contributing toward team goals and participating on team projects.
  • Assist in responding to investigations, audits and regulatory reviews
  • Other duties may be assigned by the reporting Manager
  • This role has a regulatory responsibility for supervision of Advisors, many of whom view themselves as independents.
  • This position includes a large responsibility to challenge and/or decline the Advisors use of advertising or sales literature material that does not meet regulatory requirements.
  • This role must enforce policies and rules or regulations that are in some cases unpopular with the Advisors and requires strong communication skills
  • The material that is reviewed may identify advisor conduct concerns, which may expose the Dealer to regulatory and business risks if not addressed appropriately.
  • The material that is dealt with is subject to a number of regulatory rules and may expose the Dealer to media or regulators if not administered appropriately.
  • The workflow can be unpredictable as it is subject to market activity. This position must be able to react to sudden changes in their workflow and be able to prioritize tasks.
  • Bilingualism (French and English) is required

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