SENIOR ANALYST, COMP. & BUSINESS CONDUCT

May 27, 2022

Job Description

Seeing beyond numbersºAt Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive. Today, we have over 2,800 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada and the United States. We drive results by placing our customers first, making the better choice, acting courageously, and believing everyone belongs.This role sits within Laurentian Bank Securities, a subsidiary of Laurentian Bank Financial Group.Reporting to the Senior Manager, Compliance and Business Conduct Oversight, the Senior Analyst, Compliance and Business Conduct Oversight, is responsible for monitoring compliance with securities laws, regulations, and policies issued by self-regulatory organizations, in addition to ensuring compliance with Laurentian Bank Securities internal policies. The incumbent is responsible for the conduct of business for the Bank, including integrated brokerage services, institutional brokerage, discount brokerage, institutional services, research, and corporate financing.

Responsibilities

ºOversee the business conduct of the business lines in accordance with industry standards for securities, including:oRepresentative activitiesoCarrying broker activitiesoThe Bank's grey and short listsoExternal business activities and conflicts of interestoEmployees' personal financial transactionsoThe advertising, publishing, and communication of the Bank's business linesoSocial mediaoThe analysis and handling of customer complaintsoThe daily monitoring of transactionsºAssist the manager during regulatory inspections.ºPrepare ad hoc reports.ºDetect potentially risky situations, produce analyses and assessments, make recommendations, and ensure that the necessary corrective measures are applied.ºDevelop and maintain good relationships with business line partners to secure their cooperation when more complex issues need to be addressed.ºMake recommendations on measures to be adopted to ensure that management systems, programs, policies, and procedures related to compliance are updated in accordance with industry best practices in order to mitigate regulatory risks and ensure operational efficiency of processes.ºPrepare internal investigation files.ºOversee the drafting of various compliance reports and documents in order to protect the Bank's reputation and meet regulatory requirements.

Qualifications

ºUniversity degree in law or finance and six years of relevant experienceºMinimum three years' experience in securities complianceºExperience in research and corporate financing, an assetºSuccessful completion of the Conduct and Practices Handbook CourseºSuccessful completion of the Canadian Securities CourseºSuccessful completion of the Trader Training Course, an assetºSuccessful completion of the Options Licensing Course, an assetºSolid knowledge of compliance practices (IIROC, UMIR, CSM, stock exchanges)ºGood understanding of financial markets and instrumentsºExcellent knowledge of spoken and written French and EnglishºKnowledge of financial systems and softwareºAbility to analyze and summarizeºStrong writing and communication skillsºAutonomous and self drivenºRigorous and thoroughºStrong organizational skills and ability to prioritizeºAbility to work under pressureºCollaborative and customer service oriented

Additional Information

Equity, Diversity & InclusionWe are proud to be an equal opportunity employer and are committed to fostering an inclusive and accessible work environment that reflects the diversity of our customers and our communities. We welcome and encourage applications from individuals from all groups, including Indigenous people, women, visible minorities, and persons with disabilities, regardless of race, national or ethnic origin, colour, religion, age, sex, sexual orientation, gender identity or expression, marital status, family status, genetic characteristics, disability or any other legally-protected ground. AccessibilityAccommodations for persons with disabilities are available upon request for job applicants taking part in all aspects of the recruitment process.PIPEDAWe may collect, use or disclose your personal information for the purpose of establishing an employment relationship with you.

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