The compliance associate role will be involved in a wide range of activities such as coordinating and managing the compliance monitoring process, leading specific data protection initiatives, preparing compliance policies, and advising on sales practices and promotions. A compliance associate will monitor a firm's information barriers and track information flow and conduct surveillance of employee, proprietary, client and affiliate trading accounts.
- Administer all resources of compliance program and ensure implementation of all program according to accuracy and maintain knowledge on all compliance requirements and provide support to same and if required training to subordinates.
- Analyze all compliance procedures and monitor all risks for same and evaluate all potential defects and assist in resolution for same and track all issues and administer consumer complaints and recommend corrective actions.
- Monitor all projects for compliance processes and assist all regulatory examiners in processes and evaluate all transactions that require departmental approval.
- Prepare all firm response according to regulations and evaluate and respond to all questions for compliance issues.
- Maintain and process all categories for records and participate in all compliance committee meetings and maintain records of all minutes for same.
- Prepare all reports and work paper for management and coordinate with various departments to evaluate all queries and resolutions.
- Bachelor's degree in finance, accounting, or equivalent
- Minimum 3 years of compliance-related experience
- Detail oriented
- Experience working in Canadian, US or Asian markets
- Experience with digital assets or payments
- Able to multitask
- Good written, oral communication, and report writing skills.