Int. Business Analyst with Capital Markets experience - 55874

Duration: 6 months

Extension possible: yes, based on candidate’s performance and business needs

Conversion Possible: yes, based on candidate’s performance and business needs

Business Unit: Compliance

Interview Process: 2 rounds,

Work Location: Hybrid, no anchor days but 2 days per week in the office (subject to change)

CANDIDATE PROFILE DETAILS:

Degree/Certifications Required: university degree in any discipline, with a preference for compliance or finance related courses

Years of experience: 3-4 years of relevant industry experience

Reason for request/why opened: to help clear backlog

Project Scope: N/A - supporting with BAU remediation activities

% Interaction with Stakeholders: 50% - managing directors, executives included in the scope of work

Team Size: 8 including manager

Personality Style/Team Culture: range of personalities, from folks just starting their career to seasoned industry folks. Due to confidentiality, this is a tight-knit team that shares an enclosed space away from the rest of the bank

Selling Points of Position: great opportunity to grow career within a reputable financial institution

Best Vs Average Candidate: ideal candidate will be proactive and detailed oriented, with the ability to approach employees at all levels with the appropriate respect and sensitivity that is required. They should be cognizant of how they present themselves, and should demonstrate initiative by asking the right questions, with genuine curiosity. Other coveted qualifications include:

· Ability to deal with staff and management at all levels

· Ability to manage and prioritize multiple projects, many with tight deadlines

· Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management

· Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities

How will performance be measured: biweekly meetings and the ability to impact remediation, meet deliverables

SUMMARY OF DAY TO DAY RESPONSIBILITIES:

The Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by:

• Liaising with regulators

• Providing training and education

• Conducting monitoring and surveillance

• Promoting a compliance culture within the firm

• Taking preventative measures to ensure compliance with the rules and regulations

• Reviewing new business opportunities, such as new products or markets from a compliance perspective

• Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings

Successful candidate will be supporting the Global Control Room, and dealing with material, non-public information. Expectation is to assist with remediation activities, and monitor for internal conflict. Responsibilities may include but are not limited to:

• Manage Chatbot

• Assign and follow up attestations

• Assist with projects as maybe assigned

• Assist in pulling various personal trading reports

• Manage broker feeds and monitor paper statements

• Complete and file Insider Trading Reports for directors and senior officers

• Provide day-to-day support to employees in relation to personal trading requirements

• Foster a cooperative working relationship with business unit partners and key regulators.

• Maintain up-to-date lists of employees in the StarCompliance System for appropriate coverage

• Responsible for coordinating with the business in keeping the static user groups (function groups) updated

• Build subject matter knowledge in personal trading requirements and security products and may coach and educate others

• Assist in the drafting of training materials and provide training to employees on personal trading requirements as may be required

• Consistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriate

MUST HAVE:

1.) Knowledge of Capital markets products (options, derivatives, GCIC, securities) - 2 years

2.) Previous banking or financial industry experience - 2 years

3.) Data validation & documentation experience - 2 years

4.) Excellent verbal & written communication skills

5.) Advanced Excel Skills

NICE TO HAVE

1.) CSC

2.) Stakeholder management

3.) Project coordinator or management experience - track progress

4.) Tableau, PowerBI