Job title: Senior Compliance Officer, Testing – Global Markets and Treasury
Location: Toronto, ON (WFH for now)
Duration: 6 months to start
Manager is looking for recent hands on experience.
Our large financial client is seeking a Senior Compliance Officer, Testing – Global Markets & Treasury. The Compliance Officer will contribute to the overall success of the Global Business Markets and Treasury (GBM&T) Compliance Testing Team Canada Program, by focusing on securities regulatory requirements and ensuring team and individual goals, plans and initiatives are executed and delivered in support of the Enterprise-Wide Global Compliance Program’s overall strategy and objectives, and that all activities performed, are in compliance with governing capital markets regulations, internal policies and procedures.
Must Have Skills/Requirements:
1) 5+ years relevant experience working within the financial services industry preferably within a regulatory compliance, risk or audit function in a matrix organization
2) 5+ years of experience related to capital markets securities regulatory requirements.
3) 5+ years of experience in regulatory, compliance and legal requirements in Canada, US and Europe (e.g. OSC derivative rules – Derivative Trade Reporting including Dodd Frank Title VII, EMIR, Volcker and Trade Surveillance requirements), IIROC (dealer member rule book – institutional, universal market integrity rules and the deal).
4) 5+ years of hands on experience with capital markets and Treasury products, processes and risks
5) 5+ years of experience with Internal or external audit, compliance and regulatory background
6) 5+ years of hands on experience testing processes and methodologies
Nice to Have Skills:
– Experience working on trade surveillance, conduct, regulatory reporting themes – Compliance/Financial/Audit professional designations
• Strong investigative and data analytic skills, combined with the ability to develop KPIs and Metrics
• Strong presentation and communication skills
• Knowledge of issues facing the business lines, including securities industry
• Strong Communications skills – Expert ability to write clear, concise testing reports, issues as well as internal and external communication. This includes ability to negotiate and presents testing findings and opinion