Compliance & Operational Risk Specialist responsible for mitigating legal, compliance, and reputational risks at Bank of America. Managing Material Non - Public Information and supporting various business functions.
About the role
- Compliance Officer handling client complaints, regulatory inquiries, and internal matters at financial services firm. Leading investigations and ensuring compliance with CIRO rules and policies.
Responsibilities
- Conduct investigations of client complaints in accordance with CIRO Rules
- Analyze evidence and document analysis for recommended outcomes
- Draft client correspondence and prepare responses for regulators
- Monitor and document complaint processes for effective resolution
- Handle requests from clients to access personal information under PIPEDA
- Provide administrative coordination for cyber incident management
- Assist in the implementation of the department’s Complaint Handling Policy
Requirements
- 3+ years of experience in a Compliance role
- Excellent analytical, problem-solving, and communication skills
- Extensive knowledge of the mutual fund industry and products
- Strong understanding of CIRO regulation and regulatory filing requirements
- Canadian Securities Course or IFIC Mutual Funds Course or equivalent is required
- PDO/OPD or Mutual Fund Dealer Compliance Course or Branch Managers Course an asset
- Advanced French (both written and verbal) required
Benefits
- Flexible group insurance
- Competitive pension plan
- Stock purchase plan
- Vacation and wellness/personal development days
- Telemedicine
- Employee and family assistance program
- Ergonomic furniture program
- Performance bonus
- Discounts on iA products
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