US Regulatory Services - Senior Associate

What is the opportunity?

US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. This role will assist with the incoming SEC conformance regulatory reporting changes within US Reg Services in Toronto. This role may also focus on multiple forms of regulatory reporting, such as Customer and Account Reporting, Consolidated Audit Trail (CAT), Electronic Blue Sheets EBS, LOPR, Short Interest, TRACE, MSRB, and more. Functions within the team can include remediating issues identified; control and risk management and reporting process improvement; providing support for regulatory change initiatives; and researching and responding to regulatory inquiries and exams. This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct ownership of functions. The role works closely with several areas of the Firm to support the above functions, including various business groups within the Firm, Compliance, Legal, Finance, and Technology.

What will you do?

• Fully knowledgeable on the day to day reporting activities and ensures all procedures are followed for assigned reports (May include SEC Conformance streams, CAT, CAIS, TRACE, EBS, LOPR or as assigned by manager)*
• As required, serves as a final reviewer for assigned regulatory reporting submissions*
• Acts as an effective layer of escalation for junior or less experienced staff on complex issues*
• Support the development and implementation of controls to ensure the timeliness, accuracy and
• completeness of reporting, and resolve any exceptions identified*
• Responsible for prioritization of reporting anomaly issues, which may include requirement development
• May be responsible for the production of presentations for a range of stakeholders highlighting
• achievements, reporting metrics, and other relevant material
• May be responsible for assisting with impact assessment of system / business changes
• Develops and harnesses ideas for continuous process improvement
• Document, revise and maintain procedures as required; ensure team is trained on all procedures
• May have management responsibilities for a small team or serve as a Functional SME
• May be assigned to work on projects outside of responsibilities listed above

What you need to succeed?

• Bachelors Degree or Equivalent Required, preferably in Engineering or Business or a related subject
• Understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives)
• Strong understanding of the trade life cycle (Orders, Executions, Allocations) is required
• Some understanding of Middle Office Trade Processing is required
• Some experience in Front Office / Middle Office trade processing is a plus
• Management experience is a plus
• Strong proficiency in MS Word, Excel (inclusive of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook
• Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment
• High attention to detail and ability to maintain high standards despite pressing deadlines

Whats in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work
• Flexible work/life balance options

Job Skills

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