Compliance Analyst

The role

The Compliance Analyst is responsible for independently reviewing, assessing, triaging, and resolving complaints and early-stage compliance matters in accordance with RECO’s regulatory mandate, policies, procedures, service standards, and risk framework.

The role exercises professional judgment in interpreting legislation, policies, procedures, and evidence to determine appropriate regulatory responses, identify potential breaches of the Trust in Real Estate Services Act (TRESA), and recommend corrective, remedial, or escalated action where appropriate.

The Compliance Analyst contributes fair, timely, consistent, and defensible complaint outcomes by ensuring files are complete, well-documented, properly categorized, and managed in accordance with RECO’s standards and obligations under TRESA.

Position responsibilities

Complaint Intake, Assessment, and Resolution Support

• Reviews incoming complaints to identify the nature of the issue, parties involved, available information, jurisdictional considerations, potential regulatory concerns, and appropriate next steps.
• Conducts independent assessments of complaints and compliance concerns by reviewing evidence, interpreting legislation, evaluating regulatory risk, and determining the most appropriate course of action in accordance with RECO's mandate.
• Communicates with complainants, registrants, and other stakeholders to clarify concerns, request missing information, confirm facts, and explain complaint process requirements.
• Assesses whether complaints fall within RECO’s mandate and identifies matters that may be outside jurisdiction, require referral to another body, or need escalation for additional review.
• Supports early resolution of complaints where appropriate by clarifying issues, explaining process requirements, facilitating communication, and helping resolve matters within established authority and procedures.
• Exercises judgment in determining the sufficiency, relevance, and reliability of information obtained during complaint reviews and compliance assessments.

Documentation, Correspondence, and Workflow Management

• Prepares comprehensive case analyses, evidence summaries, risk assessments, and written recommendations that support regulatory decision-making and provide defensible rationale for outcomes.
• Prepares clear, professional, accurate, and consistent written communications, including requests for information, process explanations, referral letters, dismissal communications, and complaint outcome correspondence.
• Manages assigned complaint files, monitors timelines, prioritizes work, and supports service standards, intake quality, workflow efficiency, and timely complaint handling.

Risk Management and Continuous Improvement

• Assesses regulatory, operational, consumer protection, and reputational risks associated with complaints and compliance matters and determines appropriate mitigation, referral, or escalation strategies.
• Identifies recurring complaint themes, documentation issues, process gaps, service concerns, and opportunities to improve templates, guidance, workflow, and complaint handling practices.

Qualifications and experience

• Post-secondary education in public administration, business administration, regulatory administration, law, compliance, dispute resolution, social sciences, communications, or a related field; equivalent education and experience may be considered.
• 3-5 years of experience in compliance, investigations, regulatory operations, adjudication support, enforcement, complaints resolution, or a comparable regulatory environment.
• Experience reviewing documentation, assessing issues, gathering information, and applying policies, procedures, or decision frameworks.
• Understanding of complaint intake, triage, jurisdictional assessment, documentation standards, escalation pathways, and customer service principles.
• Ability to interpret and apply legislation, regulations, policies, business rules, and operational standards.
• Strong written and verbal communication skills.
• Strong analytical, problem-solving, organizational, attention to detail, and client service skills.
• Ability to manage sensitive or difficult conversations with professionalism, neutrality, empathy, and sound judgment.
• Experience using case management systems, CRM tools, contact centre systems, workflow tools, or related operational technologies.
• Knowledge of the Trust in Real Estate Services Act, 2002 and related regulatory obligations would be considered an asset.
• Experience in a regulatory body, consumer protection organization, public sector organization, professional licensing environment, or real estate regulatory environment would be considered an asset.

Core competencies

• Analytical Thinking & Judgment
• Regulatory & Policy Awareness
• Risk Assessment & Decision Making
• Attention to Detail
• Written Communication
• Customer Service Orientation
• Escalation Judgment
• Conflict Management
• Professionalism & Composure
• Continuous Improvement Orientation