Job Description
Serve as a Compliance Analyst focusing on sales practices within a flexible hybrid role. Enforce compliance standards and provide advisory support to ensure adherence to business entertainment protocols.
The role requires a minimum of 2 years of experience in financial services and a strong knowledge of sales practices compliance. You’ll work closely with sales teams, monitor compliance initiatives, and develop training materials to foster a culture of compliance while enhancing overall business performance.
Key Responsibilities:
• Advise on compliance related to sales practices
• Respond to sales team inquiries promptly
• Review and approve marketing initiatives as per regulations
• Document compliance monitoring activities thoroughly
• Identify and address compliance gaps and opportunities
Requirements:
• 2+ years experience in financial services
• Knowledge of National Instrument 81-105 compliance
...
The role requires a minimum of 2 years of experience in financial services and a strong knowledge of sales practices compliance. You’ll work closely with sales teams, monitor compliance initiatives, and develop training materials to foster a culture of compliance while enhancing overall business performance.
Key Responsibilities:
• Advise on compliance related to sales practices
• Respond to sales team inquiries promptly
• Review and approve marketing initiatives as per regulations
• Document compliance monitoring activities thoroughly
• Identify and address compliance gaps and opportunities
Requirements:
• 2+ years experience in financial services
• Knowledge of National Instrument 81-105 compliance
...