Intermediate Regulatory Analyst - client outreach campaigns, and regulatory initiatives including BAU regulatory management activities - 83381-1

Duration: 12 month contract

Remote/Hybrid: Hybrid - Our current schedule is 3 days in the office with Wednesday as our core day

Office Location: Toronto-161 Bay St., 9th

Work Schedule (hours per week, start time): 37.5 Hours/week, 9-5 Monday to Friday

What project will this contractor be working on? Organizing and assisting in various client outreach campaigns, and regulatory initiatives including BAU regulatory management activities. There will be several reconciliations, record keeping and data entry tasks on existing client population data sets and once client data is returned. There are some gaps in the documentation that need to be filled, analyzed, and cleaned up. New data keeping processes and data management tools to be deployed and created as well. What project will this contractor be working on? Organizing and assisting in various client outreach campaigns, and regulatory initiatives including BAU regulatory management activities. There will be several reconciliations, record keeping and data entry tasks on existing client population data sets and once client data is returned. There are some gaps in the documentation that need to be filled, analyzed, and cleaned up. New data keeping processes and data management tools to be deployed and created as well. Work closely with the Director and Associate on the team to provide support and timely responses to the business, compliance, and the legal department along with assisting in any activities that overlap with our mandate in the wider global Client Services and Data Management department colleagues in London and in Hong Kong.

Client Services and Data Management has the mandate to onboarding direct clients, funds, shared clients and broker counterparties for the Capital Markets lines of business as well as to manage a robust and effective client lifecycle process for Capital Markets clients. The CS&DM team is responsible for end-to-end client onboarding activities within the above specified space, which consists of client data and information collection through research and interaction with numerous stakeholders including, Front Office, Legal Documentation, Credit, Operations and clients. Accurate client data is captured, validated, stored and maintained throughout the client’s lifecycle with The Bank's Capital Markets, together with supporting documentation, to meet various regulations and reporting needs. It is the responsibility of this team to ensure all existing and new regulatory requirements are adhered to by collecting the necessary data and documentation from clients and storing this information in the appropriate book of record systems.

Reporting to the Director, the incumbent executes and/or facilitates the investigation, assessment, and regulatory client outreach activities to ensure all existing and new regulatory requirements have been met. The incumbent will assist the Director in various ad-hoc or business as usual (BAU) projects and strategy initiatives led by the Head of CS&DM. Participation and support of strategic initiatives will be required including any large scale global capital markets regulatory remediation projects.

Must Have Requirement:

• Minimum of 3-5 years of experience in:

○ Regulatory Compliance

○ Client Onboarding

○ Trade Control/Trade Desk Support or operations preferably in the Capital Markets line of business

• Familiarity with Capital Markets

○ Clientelle

○ Business and product knowledge

• Familiarity with institutional clients

○ Asset managers

○ Insurance companies

○ Pensions

○ Sovereign Wealth Funds

• Good research, analysis and documentation skills to collect, validate and consolidate the required data/information into appropriate formats.

• possess some technical skills and have a comfort level working with existing and new technology and software applications

• Minimum of 3-5 years of experience in:

○ Regulatory Compliance

○ Client Onboarding

○ Trade Control/Trade Desk Support or operations preferably in the Capital Markets line of business

• Familiarity with Capital Markets

○ Clientelle

○ Business and product knowledge

• Familiarity with institutional clients

○ Asset managers

○ Insurance companies

○ Pensions

○ Sovereign Wealth Funds

• Good research, analysis and documentation skills to collect, validate and consolidate the required data/information into appropriate formats.

• possess some technical skills and have a comfort level working with existing and new technology and software applications

Nice to Have:

• Regulatory Environment - Financial Services - : Familiarity with applicable foreign and domestic jurisdictional and company-specific regulations, policies and guidelines affecting business practices

○ Dodd Frank (CFTC & SEC)

○ CSA

○ EMIR

○ MiFID

○ HKMA

○ MAS

○ ASIC

○ CAT NMS

○ CIRO (IIROC)

• Knowledge of Retail, Commercial and Wealth Business and their clients in FI is an Asset

• Data management experience and applicable techniques.