Labor Category: Capital Markets – BP
Hiring Manager: Senior Manager, Program Management Organization
Location Address: HYBRID (2 days per week on-site) – 40 King Street W 10th Floor
Contract Duration: Until Dec 29 2023
Number of Positions: 1
Schedule Hours: 37.5 hours weekly
Story Behind the Need
• Business group: US Regulatory and Business Initiatives
• Project/Role: GBM Records and Information Management – Business Analyst
GBM Records Management Program –receive data and do quality assurance check on data, and conduct sample testing on it; more validation than requirements. This role will serve as a Business Analyst for assisting with remediating issues identified from our Quality Assurance checks along with playing a key role in executing sample testing of record types within the GBM Internal Controls Records and Information Management (RIM) Perimeter.
Candidate Value Proposition:
•The successful candidate will have the opportunity to gain exposure to Records Management and record keeping requirements within one of the big 5 Canadian banks.
Typical Day in Role:
• Contribute to the development, implementation, and maintenance of GBM’s records management program, in compliance with the Banks’s records management Framework, Policies, Procedures and Guidelines.
• Participate as a member of the team to innovate and create ways to identify, retain, retrieve and dispose of records in an efficient and effective manner.
• Lead the documentation and maintenance of procedures and standards in collaboration with Compliance, Technology and other control and support functions for recordkeeping requirements.
• Act as a global records management subject matter expert for GBM
• Coordinate with stakeholders on periodic testing and validation of recordkeeping requirements
• Support the creation and review of holistic dashboards and reports for GBM senior management and executive committees, including metrics in collaboration with stakeholders
• Assist in the production of relevant, accurate, and comprehensive information in response to regulatory inquiries
• Execute reviews, analysis and investigations of operational process and control breakdowns across GBM of incidents with a potential regulatory impact
• Perform data analysis for incidents, utilizing a repeatable and scientific methodology to determine incident impact and suggest findings
• Other duties and projects as may be assigned from time to time.
Candidate Requirements/Must Have Skills:
• 10+ years of industry experience (Corporate/Investment Banking or Compliance) with 5+ years of experience as a Business Analyst, Project Manager, or related field
• 5+ years of Capital Markets Experience – (US &/OR Canada regulations, bonds, trade)
• Experience with record management at a Financial Institute
• Previous experience with design and implementation of internal control policies or processes.
• Experience with Regulatory Records Management, including demonstrated knowledge of RIM perimeter and functions
• Proficiency in data analysis, specifically with Python programming language and with use of Jupyter Notebooks, is an asset
• Proficient with data visualization tools such as PowerBI or Tableau
• French, Spanish or Portuguese is an asset
Soft Skills Required:
• Strong written and verbal communications and inter-personal skills
• Should be comfortable working in a Regulatory environment addressing various requests and delivering on initiatives in a time sensitive manner.
• Good knowledge of multiple global banking businesses including related systems and procedures.
• Good ability to balance competing or conflicting goals of various departments and stakeholders which requires a mature, diplomatic approach and highly developed negotiation and influencing skills.
• Ability to take initiative and be proactive (make proposals and defend them)
• Strong stakeholder management skills
• Bachelor’s degree in business, finance, or related field
• Strong capital markets experience or understanding what the records keeping/management process was in terms of trade flows, and the manager did not feel they would be able to keep up with fast paced work environment.
• The team is looking for BA who is strong on business side and with strong capital markets experience not on technical side – they are not looking for a BSA or for any programming experience –
– The 10 years in the industry with 5+ years of experience as BA &/or PM experience, need a seasoned BA and if they have PM experience too that would be great.
• Familiarity/experience with Regulatory Records Management/ Records Keeping
• Dynamic, fast paced office-based environment. The role operates in a standard trading floor environment which is often times very loud and requires intense focus to effectively manage trading and operational risk.
Candidate Review & Selection
2 video interviews – 30 minutes
• 1 videoconference with HM, 30 minutes
• 2 videoconference with HM technology/project sponsors, 30 minutes
Hiring Manager’s availability to interview: ASAP