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 ...