Senior Manager, Regulatory Operations Control

  • Location: TOronto, Ontario
  • Type: Permanent
  • Job #1740

This is a great opportunity to join the Portfolio Reconciliations team in one of the leading Financial Institutions in downtown Toronto. They are looking for a Senior Manager, Regulatory Operations Control to ensure the Bank meets its regulatory commitments with respect to Portfolio Reconciliations. You will proactively provide Daily Marks by ensuring day to day processes and controls are designed and operating effectively, alongside reviewing and improving current processes and technologies.


  • Maintain an in-depth understanding of Reporting Regulations, including subject matter expertise of the derivative product life cycle, valuation, and collateral management. 
  • Lead a team in the effective execution and recordkeeping of a suite of daily and periodic controls related to Delivery of Daily Marks, Valuation Reconciliation, Collateral Disputes, as well as the resulting breach management, escalation, and documentation responsibilities. 
  • End-to-end resolution of valuation/collateral disputes observed with counterparties.
  • Liaise with Technology, Internal Control, Compliance, Trading Floor Risk Management, and other relevant stakeholders to identify, prioritize and solution regulatory issues, gaps, and enhancements with focus on automating manual processes. Responsibilities will include building business requirements, test scenarios, UAT, and providing process expertise.
  • Help drive change management projects/initiatives to ensure that regulatory controls are operating effectively
  • Generate accurate and complete executive reporting for a variety of Committees reflecting key risks of the program
  • Deliver management commitments associated with Regulator, Internal Testing and Audit observations, this includes responding to queries, analyzing observations, designing solutions, delivering commitments, and providing evidence of closure.
  • Regulatory coverage will include Investment Industry Regulatory Organization of Canada (IIROC) and G20 OTC Regimes including Commodity Futures Trading Commission (CFTC), Ontario Securities Commission (OSC), Hong Kong Monetary Authority (HKMA), Monetary Authority of Singapore (MAS), Australian Securities & Investments Commission (ASIC), European Securities and Markets Authority (ESMA)


  • Experience in operations, project management and/or regulatory reform initiatives in a Capital Markets environment, including strong understanding of Valuation Reconciliation, Collateral Disputes, and the Delivery of Daily Marks.
  • Solid understanding and familiarity with other areas of the Bank, including Technology, Risk Management, Compliance, Audit, etc.
  • Strong relationship building competencies to build/maintain productive relationships with key stakeholders and members of the project team.
  • Expert curiosity, analytic and problem-solving capability under time pressure
  • Excellent presentation and written communications skills
  • Prior experience in managing an operations team would be an asset
  • Business/ Finance degree or equivalent

To Apply: Please apply with resume in Word format.

*Please note: due to a high volume of applicants, only those chosen who best match the skills and experience will be contacted.

Those candidates currently located and legally eligible to work in Canada, need apply.

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