JOB DESCRIPTION
Location: Onsite (Downtown, Toronto)
Duration: Until July 31, 2025 (Possibility for an extension or conversion to full time employee)
Our client, a leading financial institution in Downtown Toronto is looking for a Compliance Analyst – Capital Markets to act as liaison between desk heads and compliance and provide support for the compliance functions locally, as well as monitor communications on Monitored Employees to ensure compliance against governing regulations, internal policies, and procedures. The successful candidate will have the opportunity to work with one of the Top 5 Banks in Canada.
Typical Day in role:
- Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge
- Work in a team environment with specified duties which relate to monitoring and investigating all types of communications generated on monitored employees in GBM and Group Treasury
- The primary role of the position is to detect possible regulatory, trading policy or human resources issues that could be embedded in a communication, whether written (electronic) or oral (tapped lines)
- This position works closely with the Associate Director, Communications Surveillance, of Trade Floor Supervision; and may also need to interact, from time to time, with the senior management of Group Treasury and GBM globally
- Must be able to manage a review of large number of communications against a significant number of policies that affect the businesses globally, as well as verifying details of communications (i.e. has understanding of the content) and determining accuracy (investigate using public sources)
- Must be able to use judgment in managing highly sensitive information and/or situations
- Must be highly organized and be able to keep detailed lists and records to demonstrate compliance with the various bank policies
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions
- Actively pursues effective and efficient operations of the respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct
- Champion a high-performance environment and contributes to an inclusive work environment
Must-Have Skills:
- 2 to 4 years experience as a Compliance Analyst
- Experience working in Capital Markets to understand the lingo used in sales and trading environments
- Ability to write procedures and prepare concise reports
- Knowledge of securities laws, regulations and trading rules
Nice-To-Have Skills:
- Experienced with Microsoft Office program
Soft Skills Required:
- Strong written and verbal communications
- High attention to detail
- Ability to work in a fast paced environment
- Must be discreet given the confidential nature of the communications reviewed
Education:
- Bachelor’s degree in related field
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.