Analyst, Regulatory and KYC Quality Assurance

JOB DESCRIPTION

Location: Hybrid | Downtown, Toronto

Duration:  6 Months

Our client a leading financial institution in Downtown Toronto is looking for a Analyst, Regulatory and KYC Quality Assurance to perform timely independent quality and oversight reviews for Client Regulatory and KYC Operations. The successful candidate will have the opportunity to work with one of the Top 5 Banks in Canada.

Typical Day in role:

  • Perform timely control reviews for KYC, AML, and regulatory processes
  • Provide written and verbal feedback to regional and global leads
  • Evaluate QA results or identification of issues, patterns, trends, and opportunities for enhancement of KYC and regulatory onboarding & refresh programs and processes
  • Publish monthly/quarterly KRI metrics through a QA Scorecard as well as detailed issue memos
  • Understand and incorporate firm procedures and industry best practices into quality and control reviews.
  • Maintain proficiency in the use of the firm’s automated software systems.
  • Assist the Head of Policy & Quality Control in identifying any concerns or issues that may arise regarding AML or regulatory matters.
  • Assist in preparing related documentation for upcoming examinations and audits, as requested.
  • Assist other teams within C&DMG, as necessary.
  • Conduct ongoing review of desktop procedures to ensure alignment across regions and to regional/global control standards
  • Ensure that management controls, designed to minimize the operational errors that occur, are in place and working effectively.
  • Develop strategies to alleviate operational issues, promote client satisfaction and/or regulatory issues
  • Track and Report status updates to key stakeholders including CMG Management, Compliance and Front Office.
  • Act as a subject matter expert on regulatory and enterprise policies, and procedures related to client and data management
  • Participate in regulatory projects for Capital Markets which come through the Client & Data Management Group

Must-Have Skills:

Knowledge & Experience Required:

  • Knowledge of regional laws and regulations related to Anti Money Laundering//Terrorist Financing/Economic Sanctions and Customer Categorisation: and
  • Previous experience of working in policy review and business advisory
  • 3-5 years relevant experience
  • Prior experience with deadlines for time sensitive projects
  • Prior experience in financial services
  • Prior experience in documentation management

Skills & Competencies:

  • Strong work ethic & attention to detail
  • Proficient time management and organizational skills
  • High-level customer service and people skills
  • Ability to influence and direct internal and external colleagues
  • Good presentation skills: and
  • Good problem-solving and analytical skills

Attributes:

  • High-level customer service and people skills
  • Demonstrated analytical and problem-solving skills

Technical:

  • Knowledge of AML, TF and ES regulatory obligations and operational implications

Nice-To-Have Skills:

  • Formal qualification at Graduate or Post Graduate Level
  • Knowledge of products and operations of Capital Markets Investment Banking
  • Fenergo, CAMS certification

Soft Skills Required:

  • Strong verbal and written communication, dealing with stakeholders, attention to detail

Education:

  • High school Diploma or equivalent

Finance professional is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. We advocate for you and welcome anyone regardless of race, color, religion, national origin, sex, physical or mental disability, or age.