Associate Jobs

Our client, a major financial institution, is currently seeking a Regulatory Reporting Associate for a contract role in Toronto. The role is hybrid in office 2 days a week. The applicant will be working with the Broker Dealer Finance team.

As a Regulatory Reporting Associate, your duties and responsibilities include:

• Preparation of equity report narrative and asset location reporting
• Assist with the preparation of the Form 1 and Annual Risk Questionnaire, as well as process documentation
• Participate in the preparation of the Monthly Financial Report (MFR) and Supplemental Reports
• Prepare guidance and SOPs around report preparation and reporting requirements

Qualifications:

• At least 7+ years of experience working with Broker Dealer Regulatory Reporting including IIROC
• Strong financial acuity, able to discrepancies between large volumes of data
• Understanding of CIRO and new reporting requirements
• Strong attention to detail and the ability to work independently
• CSC designation (Nice to Have)
• 4+ years of experience in capital markets or wealth management
• Strong Excel and technical skills including VLOOKUPS, Pivot Tables
• Solid understanding of capital markets including repos, derivatives, equities, fixed income, securities lending

If you are qualified and interested in discussing this role in more detail, please submit your resume to [email protected]

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