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Job Snapshot

Employee Type - Full-Time EmployeeExperience - Not SpecifiedIndustries - Banking

Description

Job Summary

The Operations Support, Branch Compliance Officer will assume responsibility for providing a reliable, central point of contact to enable internal Delivery staff, corporate partners, external contacts such Wealth Partners, Solicitors & Trustees for all process and product support. The incumbent must be flexible and willing to work extended hours.

The candidate will be proactive, forward thinking, collaborative, resourceful and influential.  They are responsible for maintaining high standards of Member service, contributing to quality control and operational efficiency within Operations Support that contribute to a positive Member experience.

This role ensures that registered staff on the MFDA Platform will have the capability to execute mutual fund transactions consistent with regulatory requirements and established service and quality standards.

Key Responsibilities

  • Monitor the sales conduct of registered MFDA staff and regulatory and compliance systems to minimize risk
  • Respond to and resolve complaints consistent with the regulatory requirements and provide advice to enable complaint resolution where appropriate
  • Monitor operations for privacy and fraud issues, make recommendations and implement solutions that optimize compliance and risk management
  • Create a consistent and positive experience for our partners and ultimately our Members.
  • Maintain a high level of communication within Operations, Wealth and Delivery to deliver quality and meet service standards.
  • Respond to inquiries, both via email and phone, from external agencies such as solicitors, Trustees, Mutual Fund Companies and CAM.
  • Appropriately escalate issues, situations, or problems as they arise to the Manager of Wealth and Deceased Operations. 
  • Keep abreast of regulatory changes assessing the need to create or update existing policy and procedures.
  • Effectively communicate bottleneck and pain points encountered in day to day work; continuously look for ways to do things better
  • Work with your team to update internal procedures as processes change and/or improve
  • Support development of all Operations staff by providing training opportunities including on-going cross-training and knowledge transfer
  • Deliver training, advice and technical expertise on regulatory requirements to registered staff and other internal partners
  • Ability to work independently, take initiative, prioritize work and be flexible
  • Position may require occasional travel throughout the province to meet with Delivery partners.

Knowledge, Skills, and Abilities

  • Commitment to values and service excellence.
  • Create a consistent and positive experience for our partners and members.
  • Exceptional relationship and communication skills – capable of using written, spoken and interpersonal skills to create clear understanding of expectations; address escalated challenges and issues in reporting areas; and to represent the functional area across the organization.
  • Demonstrated ability and creativity in developing and implementing process improvement initiatives.
  • Confident in providing advice and direction including but not limited to deceased Member Branch processes, Mutual Fund transactions and compliance.
  • Advanced knowledge in Microsoft Office:  Word, Excel, Power Point, Outlook.
  • Advanced knowledge of systems and applications – such as: ServiceNow, Ovation, ACE, Univeris.

Education, Designations, Training, and Experience

  • Minimum 3 years of specialized/professional experience as an MFDA Advisor 
  • Must have Completed either the Canadian Securities Course (CSC), Canadian Investment Funds Course (IFIC) or Investment Funds in Canada Course (ICB)
  • Successful completion of either Branch Manager’s Course (CSI), Branch Manager’s Examination (IFIC)
  • Expert working knowledge of the business unit’s risk and regulatory requirements – Such as: FSCO, CRA, OFSI, MFDA, HRSDC, DICO, Credit Union By-Laws etc

Experience the Difference!

Thank you for your interest in Meridian Credit Union. Please note that due to the volume of applications, only those under consideration will be contacted for an interview.

Meridian is committed to providing accommodations for people with disabilities. Should you require an accommodation, we will partner with you to meet your needs.

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