Compliance Analyst – Wealth Management

Compliance Analyst – Wealth Management

ProViso Consulting

Story Behind the Need

• Business group: Regulatory Controls and Initiatives
• The Internal Controls for Global Wealth Management is responsible for the risk management support for front line business.
• They assist in ensuring that policies and external rules are complied to.
• The team also supports them in their day-to-day operations.
• This team is responsible for managing the database which holds information on all of the rules and regulations that the bank has to follow.

Candidate Value Proposition:

• The successful candidate will have the opportunity to interact with a multitude of stakeholders across client’s Canadian wealth businesses and support functions, learning about the business and the regulatory environment in which it operates. Ideally suited for a candidate who has an interest in learning about how regulatory compliance risk is managed within a complex wealth environment.

Typical Day in Role:

• Review regulatory requirements provided by internal stakeholders
• Identify controls that would address new or changed requirements
• Participate in meetings with relevant business representatives (stakeholders) to discuss applicable controls
• Summarize and document controls based on results of discussion
• Enter controls into the Open Pages system

Candidate Requirements/Must Have Skills:

• 1-2 years of experience with securities regulatory and federal banking requirements, including consumer protection
• 1-2 years of experience in Compliance and audit
• Prior experience in Canadian bank or securities subsidiary (broker dealer, mutual fund dealer), trust or private banking entity
• Wealth Management experience

Nice-To-Have Skills:

• Legal Background
• Project management experience

Soft Skills Required:

• Attention to detail – ability to read and interpret requirements, draft concisely and accurately
• Fast worker, efficient, able to prioritize


• University degree in finance or business discipline preferred
• Industry related courses (Canadian Securities course, financial planning) a bonus but not required

Candidate Review & Selection

• 1 round of interview – MS Teams Video – 45mins – Hiring Manager + Senior Managers

Job Details



7 months



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