Location: Canada
Date published: 27-Dec-2024
Job ID: 138011
Description and Requirements
Work Location: Hybrid (3 days in office)
Position Type: Contract, 12 Months (Higher potential for extension)
Location: Toronto, ON
Compensation Range: $31/hr. (T4) to $40/hr. (INC)
Our leading financial client is seeking a Regulatory Data Analyst to join the team.
Reporting to the Director, the incumbent executes and/or facilitates the investigation, assessment, and regulatory client outreach activities to ensure all regulatory requirements have been met. The scope of activities covers direct clients, new and existing funds, shared clients and brokers.
Job Responsibilities:
- Execute end-to-end client onboarding activities for direct clients, funds, shared clients, and broker counterparties in Capital Markets.
- Collect, validate, and store client data and supporting documentation to ensure compliance with regulatory requirements.
- Collaborate with various stakeholders, including Front Office, Legal Documentation, Credit, Operations, and clients, to gather and validate necessary client information and documentation.
- Ensure accurate data is maintained throughout the client's lifecycle. Ensure all new and existing regulatory requirements are adhered to by collecting and storing the necessary data and documentation from clients.
- Facilitate regulatory client outreach activities to confirm compliance and support various reporting needs.
- Maintain and update client data in appropriate book of record systems.
- Ensure the accuracy and integrity of client information throughout their lifecycle with Capital Markets.
- Conduct investigations and assessments related to client data and documentation.
- Identify discrepancies, assess regulatory requirements, and implement corrective actions to ensure compliance.
- Identify opportunities for process improvements within the client lifecycle management process.
- Develop and implement strategies to enhance the efficiency and effectiveness of client onboarding and data management activities.
Qualifications:
- Minimum of 3-5 years of experience in Regulatory Compliance, Client Onboarding, Trade Control/Trade Desk Support or operations preferably in the Capital Markets line of business
- Familiarity with Capital Markets Clientell and Business and product knowledge
- Familiarity with institutional clients Asset manager, Insurance companies, Pensions and Sovereign Wealth Funds
- Good research, analysis and documentation skills to collect, validate and consolidate the required data/information into appropriate formats.
- Technical skills and have a comfort level working with existing and new technology and software applications
- Regulatory Environment - Financial Services -: Familiarity with applicable foreign and domestic jurisdictional and company-specific regulations, policies and guidelines affecting business practices such as Dodd Frank (CFTC & SEC), CSA, EMIR, MiFID, HKMA, MAS, ASIC, CAT NMS, and CIRO (IIROC
- Knowledge of Retail, Commercial and Wealth Business and their clients in the financial industry is an asset
- Data management experience and applicable techniques.
All interested applicants who meet the qualifications listed above are invited to submit a resume by clicking "Apply Now".
The indicated pay range for this position is a good-faith estimate based on the qualifications necessary for the position, including experience, training, and other considerations permitted by law. Additionally, it is emphasized that the pay band mentioned herein is the one established by the client company. Factors that may be used when making an offer may include a candidate’s skills, experience and geographic location, the expected quality and quantity of work. Most candidates will start at the bottom half of the pay range, with the upper end reserved for candidates with extensive experience and skills and who live in geographic markets commanding a higher starting pay. An employee’s pay history will not be a contributing factor where prohibited by local law.
This information is subject to change and serves as a general guideline for compensation discussions. Actual offers may vary based on specific circumstances and company policies.