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Capital Markets Associate x 2

August 30, 2021 by

Location Address: Toronto
Contract Duration: 1 year – 09/07/2021 to 09/06/2022

Story Behind the Need:
Project: Supporting several Key Initiatives. The position is responsible for providing Teams with support in the closure of Compliance, Audit and Regulatory open issues. The person in the role actively plans and helps ensure deliverables are successfully executed in support of regulatory commitments. The position requires understanding of derivative trade lifecycle and OTC derivatives regulatory reporting requirements for G20 trade reporting, including Dodd Frank Act (DFA) and Canadian Trade Reporting.

Candidate Value Proposition: Cross functional element – interact with stakeholders across the bank, not just operations. Nature of the work is a deep dive into specific elements of the regulations when it comes to the operations, will gain strong functional knowledge of how trade reporting works and how the bank satisfies regulatory regulation. Great opportunity to work with technology teams/projects teams and various other teams.

Typical Day in Role:
– Play key role in correcting historic trade reporting. Apply reporting logic to data sets and complete quality assurance.
– Provide Teams with support for closure of Compliance, Audit and Regulatory open issues.
– Coordinate and assist in the preparation of information requests that come to the team from Audit, Compliance, and others.
– Support the team to understand, analyze and resolve Compliance and Audit finding and inquiries. This includes supporting the responses to audit/testing observations and findings and driving strategy to successfully close open issues.
– Document issue closure. Ensure design effectiveness and operational effectiveness are anchored within the business and recordkeeping is in place to evidence closure.
– Ensure that timelines are met and where timelines are at risk, ensure that appropriate escalations occur.
– Coordinating with key stakeholders to ensure teams leverage best practices and develop processes to ensure alignment with key stakeholders
– Understand regulatory reporting requirements and ensure that the key business processes are built to ensure compliance with the reporting obligations in all regions the bank operates

Candidate Requirements/Must Have Skills:
1) 2 + years of experience working in the OTC derivatives regulatory environment – with strong derivative product knowledge and regulatory within a Financial Services Industry.
2) 2 + years of Previous experience in business, operational risk, compliance, audit, testing or front office function
3) 2 + years In-Depth knowledge of the following Regulations: Canada Securities Act (CSA) and Dodd Frank Act (DFA)
4) Strong understanding of derivative trade life cycle – work experience in risk, product control or operations. Previously worked with trade data

Soft Skills Required:
1) Organizational Skills
2) Demonstrated ability to successfully manage, improve and ensure constant effective working relationships with internal stakeholders to support their initiatives and mitigate regulatory and operational risk
3) Superior problem-solving, strategic thinking and analytical thinking skills
4) Excellent Communication – verbal, and written

Degrees: Bachelor’s degree in business, finance, or related field

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