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Regulatory Operations - OATS
One of the largest banks in the world, based on market capitalization.
Our Client is seeking a Regulatory Operations Associate with OATS experience
About Our Client
Our client is one of the largest banks in the world, based on market capitalization. They are one of North America's leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis.
- Perform daily OATS regulatory reporting functions.
- Ensure timeliness, accuracy and completeness of OATS regulatory reporting.
- Identify, analyze and resolve regulatory reporting issues.
- Participate in exception review working group meetings across businesses, Compliance, Operations, Legal & Technology stakeholders.
- Generate daily/weekly/monthly metrics which provide RBC Capital Markets with insight into: Manual vs. Technological exception root causes, RBC volumes vs. industry averages, and individual owners of violations.
- Make actionable recommendations for break reduction.
- Partner with Regulatory Operations Business Analysis and Control Teams to develop and modify controls as needed, test changes to controls, assist with implementation of new regulatory requirements, and document policies and procedures as required
- On an ad-hoc basis assist with the completion of other regulatory reporting functions supported by the production team (Electronic Blue Sheets, Short Interest, Volcker CFTR, LOPR, amongst others)
The Successful Applicant
- BA or BS or equivalent preferably with emphasis in Business, Accounting, Finance, or Economics. Or strong extended experience in equivalent role.
- Understanding of equity markets
- Understanding of trading life cycle (Orders, Executions, Allocations) and Operational Processes preferred
- Excellent interpersonal and communication skills
- Strong proficiency in MS Word, Excel, PowerPoint and Outlook
- Prior OATS experience is a plus
- Knowledge of other types of regulatory reporting such as ACT, Electronic Blue Sheets, Short Interest, and/or LOPR is a plus
What's on Offer
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- A world-class training program in financial services
- Competitive Compensation Package