Associate – Regulatory Client Outreach
- Location: Toronto, ON – Hybrid – (Our current schedule is 3 days in the office with Wednesday as our core day)
- Contract Length: 6 Months with Possibility of Extension.
We at Raise are hiring an Associate – Regulatory Client Outreach for one of our top clients. After establishing themselves as an industry leader, they’re now expanding their team to meet rising demand. We’re hiring right now; if you’re interested, apply below for your chance to join a great place to work.
Responsibilities:
- Client Services and Data Management (CS&DM) has the mandate to onboard direct clients, funds, shared clients and broker counterparties for the Capital Markets lines of business as well as to manage a robust and effective client lifecycle process for Capital Markets clients.
- The CS&DM team is responsible for end-to-end client onboarding activities within the above specified space, which consists of client data and information collection through research and interaction with numerous stakeholders including, Front Office, Legal Documentation, Credit, Operations and clients. Accurate client data is captured, validated, stored and maintained throughout the client’s lifecycle with Banking Capital Markets, together with supporting documentation, to meet various regulations and reporting needs. It is the responsibility of this team to ensure all existing and new regulatory requirements are adhered to by collecting the necessary data and documentation from clients and storing this information in the appropriate book of record systems.
- Reporting to the Director, you’ll execute and/or facilitate the investigation, assessment, and regulatory client outreach activities related to tax forms for Capital Markets clients to ensure all existing and new regulatory requirements have been met.
- You’ll assist the Director in various ad-hoc or business as usual (BAU) projects and strategy initiatives led by the Head of CS&DM.
- Participation and support of strategic initiatives will be required including any large scale global capital markets regulatory remediation projects.
Must Have Requirement:
- Minimum of 5-7 years of experience in:
- Regulatory Compliance
- Client Onboarding
- Trade Control/Trade Desk Support or operations preferably in the Capital Markets line of business
• Regulatory Environment – Financial Services – : Familiarity with applicable foreign and domestic jurisdictional and company-specific regulations, policies and guidelines affecting business practices
- Dodd Frank (CFTC & SEC)
- CSA
- EMIR
- MiFID
- HKMA
- MAS
- ASIC
- CAT NMS
- CIRO (IIROC)
- Familiarity with Capital Markets
- Clientelle
- Business and product knowledge
- Familiarity with institutional clients
- Asset managers
- Insurance companies
- Pensions
- Sovereign Wealth Funds
- Good research, analysis and documentation skills to collect, validate and consolidate the required data/information into appropriate formats.
- Possess some technical skills and have a comfort level working with existing and new technology and software applications
- Expert use of S&P Global (formerly IHS Markit) portal for access to regulatory data and documentation.
Nice to Have:
- Knowledge of Retail, Commercial and Wealth Business and their clients in FI is an Asset
- Data management experience and applicable techniques.
Soft Skills:
- *** Ability to learn, understand, and apply new business or workflow process. ***
- *** Having worked on CSA Business Conduct Rule
- ***Working experience on CDIC Stay Regulations
- ***Experience on Canadian Representation Letter 2
- Strong customer service
- Strong communication skills – written and verbal
- Proven track record of effective execution in a face paced and demanding environment
- Relationship management oriented skills with a focus on customer service.
- Must have a strong continuous improvement mindset.
- Flexible and able to adapt to changing situations and ability to work in a very fast paced and demanding environment.
- Excellent ability to analyze situations fully and accurately and reach productive decisions
- Ability to think outside the box and apply innovative and creative problem solving to every situation
Looking for meaningful work? We can help!
Raise is an established hiring firm with over 65 years of experience. We believe strongly in making the world a better place through work, which is why we’re a certified B Corporation and donate 10% of our profits to charity.
We strive to build teams that reflect the diversity of the communities we work in. We encourage all qualified applicants to apply, including people from traditionally underrepresented groups such as women, visible minorities, Indigenous peoples, people identifying as LGBTQ2SI, veterans, and people with visible/nonvisible disabilities.
We have a dedicated webpage for accommodations where you can learn more about what we offer, and request accommodation: https://raise.jobs/accommodations/
In order to submit candidates for roles, our clients will sometimes require personal information to confirm the identity of applicants and their legal status to work. Raise will never ask you for personal or banking information unless you have been selected for a job. If you are ever unsure about the legitimacy of this or another job posting by Raise (or have any other questions), please contact us at +1 800-567-9675 or hello@raiserecruiting.com
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