Capital Markets Regulatory Operations Associate
Location: Toronto, Downtown
Work Model: Hybrid, three days in office with Wednesday as the core on site day
Start Date: As soon as possible
Duration: Six months, with potential extension
Schedule: Monday to Friday, 9 to 5, 37.5h weekly
Overview
A leading Capital Markets organization is seeking a Capital Markets Regulatory Operations Associate. This group delivers integrated products and services to investors and institutional clients globally across investment banking, corporate lending, research, direct investing and direct banking.
This role supports regulatory management, client lifecycle activities and outreach programs that ensure compliance with both domestic and international regulatory standards. This posting is to backfill a resource currently on leave.
Key Responsibilities
• Support regulatory outreach campaigns related to tax forms, documentation requirements and client remediation activities.
• Perform data reconciliations, record keeping, documentation reviews and data validation across client population records.
• Identify and resolve documentation gaps, conduct analysis and support data cleanup initiatives to ensure completeness and accuracy.
• Contribute to the design and deployment of new data management processes and tools.
• Assist with training and task coordination for junior team members and collaborate with global stakeholders in London and Hong Kong.
• Work closely with business partners, compliance, legal and other internal groups on client data and regulatory initiatives.
• Provide support to senior leadership on strategic projects, regulatory remediation programs and business as usual requirements.
Required Experience
• Minimum five to seven years experience in regulatory compliance, client onboarding, trade control, trade desk support or operations within Capital Markets.
• Knowledge of regulatory frameworks such as Dodd Frank CFTC and SEC, CSA, EMIR, MiFID, HKMA, MAS, ASIC, CAT NMS and CIRO IIROC.
• Experience working with institutional clients such as asset managers, insurance firms, pension funds and sovereign wealth funds.
• Strong research, documentation and analysis skills with the ability to consolidate and validate regulatory information.
• Technical proficiency and comfort working with new software and data tools.
• Expert experience using S and P Global formerly IHS Markit portal to obtain regulatory client data and documentation.
Nice to Have
• Knowledge of retail, commercial and wealth client segments within financial institutions.
• Experience in data management practices and methodologies.
Soft Skills
• Ability to learn and apply new business processes quickly.
• Experience with CSA Business Conduct Rule, CDIC Stay Regulations and Canadian Representation Letter 2.
• Strong communication skills both written and verbal.
• Customer service mindset with strong relationship building skills.
• Proven success in fast paced and demanding environments.
• Continuous improvement orientation and adaptability to change.
• Strong problem solving and analytical capabilities with a focus on sound decisions and creative thinking.
