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Capital Markets Compliance Specialist

2 months ago

Toronto, Ontario, Canada CB Canada Full time
Capital Markets Compliance Advisor

CB Canada is seeking a highly skilled Capital Markets Compliance Advisor to support our client in the Banking Sector.

Key Responsibilities:

  • Provide support to the FICC team with a focus on transaction reporting (MTRS and OTC Derivatives)
  • Conduct a review of market access controls for Futures for MX and Commodities (US access)
  • Conduct a mapping exercise of transaction reporting systems in Canada
  • Advise management of potential issues as they arise, make recommendations with regards to courses of action on transaction reporting issues
  • Develop and maintain an up-to-date procedure to review system change reviews and impact on controls
  • Assess and communicate new or amended regulatory requirements and conduct impact assessments

Requirements:

  • University degree in business, finance, economics or other related discipline
  • Completion of the Canadian Securities Course and Conduct and Practices Handbook Exam
  • 3+ years of progressive Compliance or related experience
  • Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office)
  • Microsoft Office for project management and daily tasks

Work Arrangements:

Hybrid work arrangement, with a mix of remote and in-office work.