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Analyst – Regulatory Client Outreach

RaiseToronto, Ontario

5 days ago

Job type

Full-time

Job description

Job Description

Analyst – Regulatory Client Outreach

Location : Toronto, ON - Hybrid (3 days in office. Core day - every Wednesday, and the other two days are are flexible)

Contract Length : 12 Months with possibility of extension.

We at Raise are hiring an Analyst – Regulatory Client Outreach for one of our top clients. After establishing themselves as an industry leader, they’re now expanding their team to meet rising demand.

We’re hiring right now; if you’re interested, apply below for your chance to join a great place to work.

Responsibilities :

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 CIBC 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

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)

EMIR

MiFID

HKMA

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.

Soft Skills :

Ability to learn, understand, and apply new business or workflow process.

Strong customer service

Strong communication skills - written and verbal

Proven track record of effective execution in a face paced and demanding environment

Relationship management oriented skills with a focus on customer service.

Must have a strong continuous improvement mindset.

Flexible and able to adapt to changing situations and ability to work in a very fast paced and demanding environment.

Excellent ability to analyze situations fully and accurately and reach productive decisions

Ability to think outside the box and apply innovative and creative problem solving to every situation