4 часа назад
Senior Analyst, Investment Controls
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Senior Analyst, Investment Controls (Asset Management): Monitoring retail and private wealth investment mandates for compliance with securities legislation and investment policy guidelines with an accent on regulatory analysis, control evaluation, and data-driven oversight. Focus on analyzing exceptions and trends, enhancing manual and automated monitoring processes, and supporting complex product launches and operational change.
Location: Toronto, ON, Canada; hybrid arrangement with 1–3 days per week on-site
Company
is a relationship-oriented bank focused on delivering client-centered financial services.
What you will do
- Provide first-level oversight of retail and private wealth investment mandates using multi-asset class investment solutions.
- Establish, implement, and document post-trade compliance policies and procedures.
- Perform complex compliance monitoring reviews and deliver data-driven insights on exceptions, trends, and root causes.
- Manage oversight of the Separately Managed Account program and securities lending activities.
- Evaluate key controls and support the onboarding of complex products into the monitoring framework.
- Analyze regulatory developments and represent Investment Controls in risk management, controls, audit, and product-launch activities.
Requirements
- More than 2 years of experience in asset management.
- Knowledge of relevant securities legislation and regulatory requirements, including NI 81-102 and U.S. regulations.
- Strong data analysis, trend analysis, root-cause analysis, documentation, and professional writing skills.
- In-depth knowledge of derivatives and advanced knowledge of Excel, macros, Access databases, VBA, and querying languages.
- University degree in a relevant discipline.
- Legally eligible to work in Canada and able to provide a valid work or study permit where applicable.
Nice to have
- Experience with compliance platforms such as BNY Compliance Monitor, Bloomberg Compliance/Violations Manager, Fidessa Sentinel, or Charles River Compliance.
- Completed CSC or CFA qualification.
Culture & Benefits
- Hybrid work environment with flexibility in managing work activities.
- Competitive compensation and banking benefits.
- Wellbeing support and employee and family assistance programs.
- MomentMakers social recognition program.
- Inclusive and accessible candidate experience.
Hiring process
- The process may include an attribute-based assessment and skills tests, such as simulations or coding assessments.
- Artificial intelligence tools may be used during recruitment.
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