Regulatory Reporting 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:

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

A successful applicant for the Regulatory Reporting Associate role will have the following:

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

If you are interested in this opportunity, kindly send your resume in MS Word format to Michelle Campanaro, CPA, CGA to [email protected] with the subject line "Regulatory Reporting Associate" today!