CI Financial

Compliance

• Perform compliance audits and assessments to identify potential risks and areas for improvement.
• Assist in the preparation of test planning memoranda.
• Identify and evaluate key risks and contribute to establishing test scope.
• Lead walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues.
• Develop and execute tests in line with monitoring and testing procedures.
• Appropriately assess potential findings for significance and root cause.
• Prepare test reports articulating clear and concise findings.
• Communicate test findings to testing management and business partners.
• Collaborate with business lines to develop remediation plans to resolve control weaknesses identified through testing.
• Track implementation of recommended remediation plans designed to strengthen internal controls to completion as well as perform validation testing of new or updated controls.
• Conduct targeted investigations in connection with special requests from management or related to issues uncovered in daily surveillance.
• Perform surveillance of electronic communications to ensure compliance with company policies and applicable regulations.
• Escalate exceptions to business and Compliance management along with supporting documentation.
• Work to improve efficiency of rule sets through observation and testing.
• Prepare metrics for monthly and quarterly reporting.
• Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
• Monitor and stay current on relevant laws, regulations, and industry standards.
• Prepare and maintain accurate records and documentation related to compliance and operational activities.
• Perform other duties and responsibilities as assigned.

Compliance Analyst