Documentation Specialist- Compliance & Risk Management
A history of partnership and success Since we opened our doors in 1975, we have been proud to operate as a flexible alternative to larger, traditional, financial institutions¿providing our neighbours with an opportunity for growth and success. We offer a wide range of financial products and trust services, and our team prides themselves in providing the right products to suit our customers' unique needs. Community Trust Company is a privately held Canadian financial institution, and is regulated through the Office of the Superintendent of Financial Institutions (OSFI). Our great benefits include: Performance incentive bonus Amazing medical benefits with a health spending account Close to Hwy 401, TTC and Mississauga transit 4% company Pension contribution Tuition reimbursement Flexible work environment EAP(Employee Assistance Program) Vacation, personal and sick days Casual Fridays and Super casual Days Location: Mississauga The primary purpose of the Documentation Specialist role is to document current operational procedures performed in the various in-scope business units of the company, with an emphasis on documenting business unit anti-money laundering and Risk management processes. KEY JOB FUNCTIONS: Document current process and workflows in the Retail Branch, Deposit Broker, ETA, Residential Mortgage and Commercial Mortgage business units as they relate to anti-money laundering. Provide assistance as required to develop and document new procedures. Assist Chief Compliance Officer in maintaining an inventory of anti-money laundering, lending and deposit taking regulatory requirements applicable to a federally regulated trust company. Provide assistance to the risk management and compliance functions on the tracking of compliance issues, projects and initiatives. Risk Management and Corporate Policy objectives: For each business unit, assist in documenting revised to inherent risk assessment procedure for all products and distribution channels Assist in application of revised inherent risk assessment process to existing clients, and documenting enhanced due diligence procedures for identified higher risk clients Document all AML current procedures, complete end-to-end AML control processes and deliver AML program/an enterprise wide AML/ATF control self- assessment procedure Document CAMLO AML monitoring and testing procedures,develop procedures and produce exception reports for unusual or suspicious transaction indicators for all business units Assist in document an Outsourcing review procedure, in accordance with OSFI guideline B-10 Document process for screening all parties to a wire transfer against Designated Person/Entity List, execute AML Requirements Gap assessment and LCM policy and procedure EDUCATION: A Bachelor's degree, college diploma or equivalent working experience in financial services (Risk Operations, Legal, Compliance, AML, or Auditing) 4+ years in regulatory compliance or operations experience in the financial services industry Knowledge of Anti-Money Laundering Regulations, irregular Business practice prevention and other compliance programs Have knowledge of the KYC/AML and requisite regulatory requirements, including FINTRAC regulations Knowledge of OSFI AML Guideline B-8, Fintrac guidelines and federal anti-money laundering legislation Certified Member of Association of Certified Anti-Money Laundering Specialists and CSC an asset COMPETENCIES: Strong understanding of change control principles, processes and their impact on compliance and regulatory requirements; Ability to analyze end-to-end business processes business processes across different product lines and corporate service areas. The candidate should possess a confidence and credibility that will enable them to establish a good professional relationship and influence with colleagues and senior management; Proficient in Microsoft Office Suite (Word, Excel/PowerPoint)
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