Broker Dealer Compliance Testing

Join a top global Canadian banking organization as they look to augment their compliance testing program for their broker-dealer.

Client Details

Client is a top, global Canadian banking firm.

Description

• Assist with developing and executing the annual Compliance Testing plan

• Determine the scope of reviews, build detailed review steps, and organize documentary evidence of the review

• Execute testing engagements and prepare reports to document exceptions and action plans

• Communicate deficiencies to the business and key stakeholders, exercising credible challenge

• Oversee the remediation of gaps identified in the testing process

• Build relationships with key stakeholders globally

• Assist in identifying areas for enhanced Monitoring, Testing, or training

• Develop Testing metrics and contribute to department reporting

• Support issues management development and tracking of Compliance-identified findings

• Support the development of a rules inventory covering applicable rules and regulations for TDS businesses

• Participate in special projects to enhance compliance functions

• Work closely with other support functions and business areas to foster a culture of compliance across the firm

• Contribute to annual compliance training requirements and regulatory change impact assessments as needed

Profile

• Bachelor's degree or progressive work experience

• 5-7 years of related experience

Preferred Qualifications:

• JD is desirable but not required

• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, with the ability to learn new areas while supporting them

• Excellent interpersonal, organizational, leadership, and communication (oral and written) skills

• Client service skills, with the ability to partner with and advise senior managers, line managers, and other stakeholders on regulatory interactions

• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues

• Project management skills and the ability to manage multiple work streams involving different partners and groups

• Ability to thrive in a fast-paced, deadline-driven environment, demonstrating excellent time management, planning, and the ability to handle multiple assignments simultaneously

• Ability to interact effectively with all levels of the organization and collaborate on teams of varying sizes

• A relationship builder with the ability to establish, develop, and maintain effective working relationships with regulators and business/functional partners

• Proficient in Word, Excel, and PowerPoint

Job Offer

Opportunity to join one of the few global banking organizations actively growing their US pressence.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.