Sr. Market Regulation Analyst

Klopp Richards & Associates View all jobs

Calgary, AB
Permanent
Full-time

2 months ago

Our Calgary client is looking for a Senior Regulatory Analyst who will be responsible for leading complex registrant compliance reviews with dealers, advisers, and investment fund managers. If you have experience in producing high-quality written regulatory reports ensuring registrant's compliance with securities legislation this permanent hybrid role may be a great fit for you.Key responsibilities include:

Analyzing, researching, interpreting and demonstrating how regulatory obligations apply to the business operations
Managing professional relationships with senior management of regulated entities
Maintaining books and records for reviews
Overseeing and evaluating the implementation of registered firm action plans
Conducting senior-level quality reviews of analysis, review findings and compliance reports
Mentoring less experienced Registrant Oversight Analysts during compliance reviews by being a subject matter expert
Providing administrative and leadership support to the Team Lead and management
Researching, preparing and presenting internal memos covering various complex issues
Summarizing research, analysis, and conclusions

The ideal candidate will possess:

A university degree in business discipline or equivalent
CPA or CFA designation is preferred
10+ years experience in independently conducted compliance reviews and mentoring of junior and intermediate staff
Strong analytical judgment
Ability to apply legislation to books and records
Excellent critical thinking and analytical skills
Strong verbal and writing communication

If you are interested in this opportunity, please send a copy of your resume to Caelly at .Richards & Associates would like to thank all applicants in advance for their interest in this opportunity.

Klopp Richards & Associates

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