Compliance Analyst
Location: Toronto, ON – Hybrid – (2 days/week onsite)
Contract Length: 12 Months with Possibility of extension
We at Raise are hiring a Compliance Analyst 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;
- Execute the first line monitoring and testing controls related to the provision of pre-trade mid-market prices/marks (“PTMM”) provided to in-scope US Persons under CFTC External Business Conduct requirements for OTC derivative products, including:
- Review the pre-execution communication, monitor PTMM provision and collect the evidence per the Bank’s requirements and identify non-compliant trades
- Follow up with other teams to obtain relevant evidence if required (e.g. Front Office, Onboarding Team, etc.)
- Update and maintain PTMM records
- Other duties and projects as may be assigned from time to time.
Candidate Requirements/Must Have Skills:
- 1-2 years experience as an Analyst (preferably in Compliance, Operations, Trading or Operational Risk)
- Good knowledge of Capital Markets OTC derivatives.
- Experience working with Audits or Internal Controls
- Good working knowledge of Microsoft Excel, PowerPoint, and Word
- Prior Financial Institution Experience
Nice-To-Have Skills:
- Control testing and audit in compliance program or wealth business units
- Experience in the records and information management field.
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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