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Regulatory Compliance Analyst

3 months ago

Toronto Ontario, Ontario, Canada Bay Street Staffing Full time

One of our banking clients is seeking multiple Regulatory Compliance and Client Onboarding Specialist for 12 month contract in Toronto.


Hybrid: 3 days in office. Core day - every Wednesday, and the other two days are up to the candidate.


Position 1 (3 hires) - Must Have Requirement: Minimum of 5-7 years of experience


Job Description:


Client Services and Data Management has the mandate to onboarding direct clients, funds, shared clients and broker counterparties for the Capital Markets lines of business as well as to manage a robust and effective client lifecycle process for Capital Markets clients. The CS&DM team is responsible for end-to-end client onboarding activities within the above specified space, which consists of client data and information collection through research and interaction with numerous stakeholders including, Front Office, Legal Documentation, Credit, Operations and clients. Accurate client data is captured, validated, stored and maintained throughout the client’s lifecycle with the bank Capital Markets, together with supporting documentation, to meet various regulations and reporting needs. It is the responsibility of this team to ensure all existing and new regulatory requirements are adhered to by collecting the necessary data and documentation from clients and storing this information in the appropriate book of record systems.


Reporting to the Director, the incumbent executes and/or facilitates the investigation, assessment, and regulatory client outreach activities to ensure all regulatory requirements have been met. The scope of activities cover direct clients, new and existing funds, shared clients and brokers.



Must Have Requirement:

• Minimum of 5-7 years of experience in:

○ Regulatory Compliance

○ Client Onboarding

○ Trade Control/Trade Desk Support or operations preferably in the Capital Markets line of business

• Regulatory Environment - Financial Services - :Familiarity with applicable foreign and domestic jurisdictional and company-specific regulations, policies and guidelines affecting business practices

○ Dodd Frank (CFTC & SEC)

○ CSA

○ EMIR

○ MiFID

○ HKMA

○ MAS

○ ASIC

○ CAT NMS

○ CIRO (IIROC)

• Familiarity with Capital Markets

○ Clientelle

○ Business and product knowledge

• Familiarity with institutional clients

○ Asset managers

○ Insurance companies

○ Pensions

○ Sovereign Wealth Funds

• Good research, analysis and documentation skills to collect, validate and consolidate the required data/information into appropriate formats.

• possess some technical skills and have a comfort level working with existing and new technology and software applications

• Expert use of S&P Global (formerly IHS Markit) portal for access to regulatory data and documentation.


Nice to Have:


• Knowledge of Retail, Commercial and Wealth Business and their clients in FI is an Asset

• Data management experience and applicable techniques.