Equity Analyst

2 weeks ago

Toronto, Canada Calculated Hire Full time

Segregation Analyst - (Equity & Option Clearing, Settlements/North America Segregation)
12-month contract
Location: Toronto, Canada - hybrid model

Mandate:
- Provide support and deliver specific operational processes to ensure timely and accurate settlement of Security Segregation transactions executed globally, and confirm the activity is accurately recorded in the bank's book of records
- Ensure compliance with all regulatory topics and reporting requirements related to the products and processes it supports
- Gather and format data into regular and ad-hoc reports, and dashboards
- Support change management of varying scope and type; tasks typically focused on execution and sustainment activities
· Providing weekly updates to senior management on # of outstanding items and status
· Following up with Team Leads prior to Monthly Risk Meetings and providing updates in GEMS with a clear update to the Director

KEY AREAS OF RESPONSIBILITY
· Product & Process
· Risk & Control
· Business Performance Management
· Direct Reporting
· Process & Change

Product & Process
· Manage and resolve day to day issues specific to segregation including the resolution of complex internal business partner and/or external customer issues. Escalate more complex issues to senior management if necessary.
· Manage and monitor a complex portfolio of work representing a significant amount of risk.
· Continuously assess and improve the operational effectiveness of the segregation process
· Resolve operating/technical problems. Participate in resolution of problems outside of direct authority
· Handle and resolve complex matters, core business critical issues, disputes, queries and complaints from internal business partners and external customers.
· Ensuring we have clear and documented procedures and processes with control check lists which are saved and used for training and audit purposes.

Risk & Control
· Maintain key controls and review process, where applicable, to ensure operating integrity, comply with internal and external regulators, involving an understanding of regulatory and compliance requirements as prescribed for the business unit; provide recommendations and implement corrective actions to ensure adherence as required.
· Identify potential risk situations within the scope of work (e.g. risk assessments), make recommendations and/or escalate to senior management, where appropriate, and ensure contingency plans exist.
· Develop and maintain standards, process and controls in reconciliations in order to minimize loss/risk, ensure all regulatory requirements are met, and safeguard the assets of the Bank.
· Understand risks inherent in area(s) of expertise and take appropriate actions, including accuracy and safeguarding of all documentation and any other requirements to ensure operational integrity is maintained within the business
· Ensure adherence to all aspect of First Principles, our Code of Business Conduct and Ethics Bank standards, policies and procedures (P&Ps) for such things as potential conflicts of interest, safeguarding of customer information, trading in securities, anti-money laundering, privacy and disclosure of outside business activities.
· Ensure strict confidentiality is maintained for both customer and Bank information to protect the customer and the Bank and to ensure compliance with Bank P&Ps.
· Follow security and safeguarding procedures and apply appropriate due diligence in accordance with Bank policy for the prevention of loss due to such things as fraud or defalcation.
· Contribute to the management of risk and minimize losses through monitoring and controlling various reports and taking appropriate actions, ensuring compliance requirements, audits and verifications are completed in accordance with Bank P&Ps.

Business Performance Management
· Deliver exceptional customer service that builds trust through responsive, accurate, consistent, knowledgeable and available services and support.

SCOPE AND IMPACT
This job has a direct or indirect impact on the following:
· Customer confidence and LOB satisfaction
· Customer retention by ensuring service quality in identifying breaks early with resolution
· Bank financial performance by responding on a timely basis to changing operating conditions so as to mitigate financial penalties and cost; also ensures an appropriate balance between customer service and costs to minimize loss of revenue or customer dissatisfaction.
· Mitigation of reputational risk and financial loss against such things as fraud, defalcation and/or financial penalties by ensuring compliance with Bank P&Ps and regulatory requirements.
· Mitigation of costs/impacts associated with human errors by supporting the proper coaching and training of others.
· High volume and or/high risk environment with strict timeframes that are time sensitive and subject to large penalties if timelines are missed.

KNOWLEDGE AND SKILLS
Knowledge:
· University degree or equivalent work experience
· More than 5 years of related experience
· Solid knowledge and understanding of all traded products-capital market
· Solid knowledge of standard desktop applications used by the business unit (i.e.Microsoft Office)
· Solid knowledge and understanding of business unit’s key products and services, proves and controls
· Solid understanding of business unit’s risk and regulatory requirements
· Solid knowledge of departmental systems and applications
· Solid understanding of internal business, partner’s business, services and organization
Skills:
· Work effectively with high volume of transactions and with time constraints
· Understand the intricacies of transactions from multiple lines of business and have the courage to make quick/sound decisions
· Build strong relationships internally
· Strong prioritization skills
· Strong written and oral communication skills
· Ability to multi-task in a fast-paced environment

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