Senior Manager, Regulatory Trade & Transaction Reporting

  • Location: TOronto, Ontario
  • Type: Permanent
  • Job #2259

Our client, one of Canada's largest banks in downtown Toronto are looking for a Senior Manager to lead their Trade and Transaction Regulatory Reporting Control & Monitoring team. This team ensures the bank is meeting its MiFID II / MiFIR, EMIR / UKMIR, SFTR, IIROC and CATS regulatory compliance requirements across the trade and transaction lifecycle, maintains and improves controls and error correction processes; and actively helps to drive business initiatives.


  • Lead a team of regulatory operations professionals to ensure regulatory compliance requirements are met
  • Understand and maintain up-to-date knowledge of regulatory requirements: 
    • MiFID II & MiFIR
    • EMIR & UKMIR
    • SFTR
    • IIROC
    • CAT
  • Generate executive reporting for Committees, reflecting on key risks and issues in the programs
  • Work closely across multiple teams including Internal Control, Technology, Compliance, Regulatory Business Initiatives etc to understand key business, and regulatory objectives. Identify key data analytics to provide insight and transparency for improved business performance and risk assessment.
  • 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
  • Build a high-performance environment; retain, develop and motivate your team using a coaching mindset and behaviour; managing succession and development planning for the team


  • Experience in Capital Markets in either Operations, Product Control, Risk Management, Trade Lifecycle, Transaction Management
  • In-depth knowledge of regulatory reporting requirements (MIFID 2, EMIR, SFTR, IIROC, CATS) – minimum of 2
  • A successful team leader – must have managed a team with demonstrated ability to provide mentorship ensuring a successful and effective team environment
  • Experience implementing regulatory change initiatives including impact assessment
  • Knowledge of technology reporting infrastructure and front office systems
  • Strong communication skills to (written and verbal) – you will be liaising across various teams, multiple stakeholders and presenting to senior executives
  • Ability to identify and create process improvements
  • Strong organizational skills to work with a demanding and fast paced environment  

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.