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Capital Markets Compliance Specialist

2 months ago

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

CB Canada is seeking a skilled Capital Markets Compliance Advisor to support our client in the Banking Sector. The ideal candidate will have a strong background in compliance and transaction reporting, with a focus on FICC team support and market access controls.

Key Responsibilities
  • Provide support to the FICC team, focusing 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 on potential issues and make recommendations for transaction reporting
  • Develop and maintain an up-to-date procedure for reviewing system change reviews and their impact on controls
  • Assess and communicate new or amended regulatory requirements and conduct impact assessments

Requirements
  • University degree in business, finance, economics, or a related field
  • 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 in Capital Markets (front, mid, back office)
  • Microsoft Office skills for project management and daily tasks

Assignment Details
Hybrid work arrangement in Toronto, ON. ASAP start, with a 3-month commitment.