Job Description

Candidate Profile Details:

• Degree/Certifications Required: University Degree at a minimum is required, Masters degree is an asset
• Years of Overall Experience: 8-10 years
• Preferred Candidate Background: Strong understanding of CAT, EBS, 606 and LOPR reporting, capital markets in the equity space
• How will performance be measured: successful delivery of day-to-day deliverables (controls) assisting with testing,
• Selling Points of Position (CVP): build a network of connections
• Work with different stakeholders
• Interacting with compliance and different teams

Summary Of Day-To-Day Responsibilities:

• Provide day to day support to the US team
• Run daily controls and process - independently run
• Assist with UAT testing
• Review business requirements

Department Overview

• The Regulatory Reporting Group (RRG) has operational oversight to ensure compliance standards are being met for an assortment of regulatory reporting mandates globally, on behalf of TDS.
• The team is responsible for maintaining BAU functions, delivering against Change Initiatives and driving efficiencies aimed at providing a robust, scalable, and flexible infrastructure, whilst maintaining and managing the risk appetite.

• Provide deep technical subject matter expertise/analysis on operational processes as a key resource/representative for the Trade and Transaction reporting function
• Identify, document, and investigate processes/exceptions arising from transactions/processes and work with vendor applications and internal stakeholders to remediate and escalate them
• Communicate key BAU health status and provide timely escalation of issues to senior management to ensure regulatory objectives are met
• Provide accurate and thorough analysis of key process drivers, root or systemic causes of cross functional operational issues, interpret findings and make recommendations
• Maintain and develop working relationships with customers, partners and vendors by representing the Regulatory Operations function in the regions, thus addressing complex issues within the context of the full end-to-end process
• Support the timely and accurate completion of business processes and procedures according to SLA requirements
• Actively maintain understanding of internal and industry regulations and trends, developing and sharing knowledge of emerging issues/risks, and assess its potential impact
• Contribute to the development/delivery of presentations/ communications to management or broader audiences
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite; adhere to enterprise frameworks and methodologies that relate to operations activities for own area
• Support change management projects or programs that impact the business, functions or processes and ensure clear communication and documentation of new processes
• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure the timely communication of issues/points of interest
• Provide thought leadership and/or industry knowledge by actively building operations/business services knowledge, think critically about processes and opportunities for improvement, share ideas and transfer knowledge within the team and across the function
• Participate in personal performance management and development activities, including cross training within own team and other teams globally within Trade and transaction reporting
• Lead, motivate and develop relationships with internal and external business partners/ stakeholders to develop productive working relationships
• Expert knowledge and understanding of the operations environment, business processes and procedures, and transaction lifecycle within capital markets
• Ability to executes on more complex and/or non-standard processes and handle high volume of trades and exceptions in a timely and efficient manner
• Provides training/guidance to others on best practices, processes, etc. as well as guide junior staff for the completion of business as usual functions or ad- hoc non-routine requests
• Summarize and communicate complex problems in a summarized, effective manner to senior management - Provide progress reports to senior management, clearly stipulating constraints, dependencies, and delays that may impact overall delivery
• Protect the interests of the organization - identify, manage, and raise risks or issues and problem solve as required; stay on top of emerging issues, trends, and evolving regulatory requirements

Job Requirements

• 7-8 years of Global Markets, Risk/Compliance Operations, and/or regulatory reporting experience
• Subject matter expertise within transaction reporting across US and Canadian regulations including but not limited to FINRA, CFTC, SEC, Canadian reporting requirements, CIRO etc.
• Strong understanding of CAT, EBS, 606 and LOPR reporting
• Familiarity with Python and/or other data analytics tools like Alteryx, SQL is an asset
• Understanding of applications such as JIRA, Confluence, Broadridge is an asset
• Solid Knowledge of US regulations is a key requirement
• Solid knowledge of Capital Markets products and willingness to continue enhancing knowledge
• Strong relationship management skills required to handle both internal and external stakeholders
• Detail-oriented with the ability to work independently with competing priorities in a fast-paced environment
• Experience with client data systems and processes is preferred
• University Degree at a minimum is required, Masters degree is an asset

Must-Have
Hard Skills:

• Strong US regulations
• CAT reporting
• Capital markets
• Security market knowledge

Nice-To-Have

• Good knowledge of front-to-back capital marketing processes
• FI exp

Job Details
13743
Contract
6 months
Toronto
70.00 CAD
Recruiter
Saksham Khera
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Skills Required