Compliance Analyst

At CWB, we strive to build value for the people who choose us every day: our people, our clients and our investors. We do this by:

• Putting people first and building relationships with intention

• Seeking out and embracing new ideas

• Believing that how we do things is as important as what we do

Role Specifications
Everyday Flexibility. Flexible Work Arrangements. Hybrid Work Environment
Flexible location: Calgary, Edmonton, or Toronto

CWB Wealth provides integrated wealth management, offering tailored financial plans that complement clients’ investment portfolios. We go beyond investing, creating solutions that bring clients peace of mind. Backed by CWB Financial Group and its subsidiaries, our 70+ professionals manage over $8 billion in assets, delivering seamless banking, investment management, and customized wealth planning.

Our team is energetic, client-focused, and collaborative, committed to doing what’s best for clients. We take pride in our genuine, supportive culture. If you’re driven and ready to be part of a dedicated, growing team, we want to hear from you!

The opportunity
Are you meticulous when it comes to details? Do you have a passion for compliance in the finance industry?

We’re seeking a Compliance Analyst to provide analytical and administrative support to the CWB Wealth Compliance team. In this role, you will ensure critical functions for regulatory and reporting requirements are adhered to, and responsible for providing support in KYC reviews and account opening supervision.

What you’ll be doing

• Review and approve KYC updates and AML risk assessments

• Provide support for the timely turnaround of account opening approvals

• Conduct monthly and quarterly reporting analysis such as AML large transaction and sanctions reporting

• Provide reporting of KYC updates to the Client facing team and conduct monitoring

• Conduct monthly account statement reviews of access persons

• Monitor employees’ adherence to the social media policy

• Identify, recommend and implement process improvement opportunities for reporting, analysis and control

• Support the continued development and maintenance of compliance procedures

• Participate in broader compliance initiatives and projects

Who we’re looking for & what you’ve done

The successful incumbent will demonstrate accuracy, attention to detail, and proficiency with Excel, along with strong analytical and troubleshooting skills. They will have excellent written and verbal communication abilities to articulate a client-centric approach, with fluency in French as an asset. Strong prioritization and time management skills are essential for handling demanding workloads. Discretion in managing confidential information, adaptability, self-motivation, and confidence are key, along with the ability to work independently and within a diverse team. A commitment to continuous learning in investment industry compliance, operations, and wealth management is crucial.

Education

• Post-secondary diploma or degree in a related field, and/or equivalent experience

• Relevant industry accreditations such as completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH) would be an asset.

Professional Experience

• 1+ year of related experience, preferably within an asset management firm

• Demonstrated knowledge and understanding of securities regulatory requirements and compliance functions

• Proficient in MS Office, with aptitude to quickly master CWB Wealth’s operations and compliance software.

Change your career trajectory with CWB. Apply today.

• Wellness matters. We offer an award-winning benefits package that includes:

• hybrid work environments

• everyday flexibility

• company-funded health coverage

• health care spending account

• a flexible wellness program

• generous time-away options to unplug, rest & recover.

• Career development. We commit to our employees’ development and help them reach their professional goals with:

• organization wide coaching services

• mentorship

• education support & training programs.

• Bring your whole self to work. Inclusion is a journey requiring practice & experience to result in a powerful outcome. Your perspective matters & voice will be heard. Find community within the CWB family in our employee represented groups.

#LI-AI1

As an equitable employer, CWB Financial Group is committed to providing a safe and inclusive environment where a diverse workforce thrives. You are welcomed and encouraged to bring your whole self to work. Dignity, respect and equality are non-negotiables. If you require accommodation during any part of the recruitment or selection process, please reach out.

* Position closes at 12:01am on the close date identified below.