Compliance Analyst

  • 75,000 - 90,000 USD Base + Bonus
  • Toronto, ON, Canada Toronto ON CA
  • Permanent, Full time
  • Hamlyn Williams
  • 22 Mar 18 2018-03-22

A Global Investment Bank is looking for a Compliance Analyst to join their team. This exciting role offers the opportunity to work in a global market and excellent career projection within the company. Our client is rapidly growing in North America and is looking for someone who help them continue to prosper. The ideal candidate will have experience in both Canadian and US markets, excellent communication skills, and a positive attitude.

Key Responsibilities

  • Conduct surveillance and monitoring of the Institutional businesses
  • Identify, review and assess trade alerts in SMARTS to determine if circumstances warrant further action
  • Develop and manage trade analytics to spot potential issues · 
  • Test and manage controls around investment processes 
  • Identify and research potential issues and escalate as needed
  • Assist and support the surveillance and monitoring of the Equity businesses as required
  • Monitor and review trading against Restricted and Watch lists
  • Maintain accurate and timely record-keeping of trade reviews performed and trade inquiries issued, providing management oversight reports as requested
  • Assist with the administration of regional and firm wide policies and procedures 
  • Stay current on new rules and regulations
  • If appropriately registered as a supervisor in Canada, review and approval of new institutional client accounts for compliance with all documentary and verification requirements