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 ccampbell@klopprichards.com.
Richards & Associates would like to thank all applicants in advance for their interest in this opportunity.