Consulting Analyst - Control, Risk and Compliance - Signature Department

May 23, 2022

(Work place: Québec)

Desjardins values diversity and equity in the workforce and is committed to meeting the needs of people with disabilities by adapting the recruitment process, as needed.

Desjardins Group is the largest cooperative financial group in Canada, and one of the largest employers in the country. It offers a full range of financial products and services and is home to a wealth of expertise in property and casualty insurance, life and health insurance, wealth management, services for businesses of all sizes, securities brokerage, asset management, venture capital, and secure, leading-edge virtual access methods.

Job Level

NV-07The incumbent supports managers in applying and carrying out internal control, risk and compliance activities related to savings and investments.

General Information on the Position

Main responsibilities

  • Monitor the development of the internal control system. Ensuring that all supervisory controls are carried out and that they are of a high quality. Carry out certain supervisory controls. Act as an interface between the components of Desjardins Group concerned.

  • Prepares the reporting process.

  • Act as compliance officer (CO) for the distribution of AMF investment products and performs compliance tasks for the distribution of IIROC investment products.

  • Responsible for activities associated with operational risk including risk and control self-assessment, operational loss capture, business continuity planning and information security.

  • Support managers in the identification and implementation of corrective actions.

  • Ensure the completion of activities related to Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) legislation.

  • Respect the policies, practices and standards in force as well as the various legislations governing the distribution of financial products and services.

  • Ensures that group savings, securities and financial planning sales activities comply with regulatory requirements and applicable laws.

  • Performs close supervision of files.

  • Ensures compliance with rules regarding confidentiality, prospecting, solicitation, advertising and filing of files.

  • Assists in the supervision of Mutual Fund Representatives and Registered Representatives by ensuring compliance with procedures, verifying that representatives are not in conflict of interest, ensuring that any changes to individual information are recorded and reported to the Firm.

Other working conditions

  • Workplace: The work arrangement for the position is hybrid work #LI-Hybrid

  • Number of jobs available : 1

Qualifications

  • Bachelor's degree in a related field

  • A minimum of 1 year of relevant experience

 Please note that other combinations of qualifications and relevant experience may be considered

  • For vacant positions available in Quebec, please note that knowledge of French is required

Specific knowledge

  • Knowledge and understanding of the issues and practices of the constantly evolving personal financial services industry

  • Knowledge of all products and services intended for Caisse members and those offered by Desjardins Business centers, components, as well as Desjardins distribution networks and those of the competition

  • Knowledge of compliance with legislation on the distribution of financial products and services

  • Knowledge of the philosophy and operations of a financial services cooperative

  • Knowledge of the administrative processes related to the controls performed

  • Knowledge of service standards

  • Understanding of the issues and practices of the constantly evolving personal financial services industry 

  • All products and services intended for caisse members and those offered by Desjardins Business Centres, components and Desjardins and competitor distribution networks 

  • Notions on compliance with the laws governing the distribution of financial products and services 

  • Philosophy and operation of a financial services cooperative 

  • Administrative processes related to the controls performed 

  • Service standards

Desjardins Cross-sector skills

Action oriented, Customer Focus, Differences, Nimble learning

Key competencies for the job

Business insight, Complexity

Work Location

Service signature Desjardins (SSD) Québec - Centre de services Lebourgneuf

Trade Union

Unposting Date

2022-06-13

Job Family

Risk management (FG)

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