Compliance Analyst

4 weeks ago

Toronto ON, Canada ProViso Staffing Full time

Story Behind the Need

• Business group: Support GBM Internal Control
• Project: PTMM Monitoring globally ensuring execution and delivery in compliance with governing regulations, internal policies and procedures

Candidate Value Proposition:

• The successful candidate will have the opportunity to work on a new initiative for the bank to institute new practice for records management within the bank.

Typical Day in Role:

• Execute the first line monitoring and testing controls related to the provision of pre-trade mid-market prices/marks (“PTMM”) provided to in-scope US Persons under CFTC External Business Conduct requirements for OTC derivative products, including:
o Review the pre-execution communication, monitor PTMM provision and collect the evidence per the Bank’s requirements and identify non-compliant trades
o Follow up with other teams to obtain relevant evidence if required (e.g. Front Office, Onboarding Team, etc.)
o Update and maintain PTMM records
• Other duties and projects as may be assigned from time to time.

Candidate Requirements/Must Have Skills:

• 1-2 years experience as an Analyst (preferably in Compliance, Operations, Trading or Operational Risk)
• Good knowledge of Capital Markets OTC derivatives.
• Experience working with Audits or Internal Controls
• Good working knowledge of Microsoft Excel, PowerPoint, and Word
• Prior Financial Institution Experience

Nice-To-Have Skills:

• Control testing and audit in compliance program or wealth business units
• Experience in the records and information management field

Soft Skills Required:

• Eagerness to learn and grow with the position
• Excellent written and verbal communication skills required to prepare communications and interact effectively with stakeholders
• Excellent organizational skills and ability to work in a fast-paced environment

Education:

• Undergraduate degree in a related field (Business/Finance)

Best vs. Average Candidate

• The best candidate would have strong knowledge of Cap Markets and have experience in an analyst role.

Candidate Review & Selection

• 1 round:
o 1st –HM + peers (panel style) – 1 hr – MS Teams Video (behavioural and situational questions as well personality fit)

Job Details

11901

Contract

1 year

Toronto

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