Senior Capital Markets Business Analyst n- US Regulatory and Business Initiatives - 30402
Job Type: Contract
Positions to fill: 1
Start Date: Jun 19, 2023
Job End Date: Dec 29, 2023
Pay Rate: Hourly: Negotiable
Job ID: 130188
Location: Toronto
Capital Markets Business Analyst
Location Address: HYBRID (2 days per week on-site) - 40 King Street W 10th Floor
Story Behind the Need
• Business group: US Regulatory and Business Initiatives
• Project/Role: GBM Records and Information Management – Business Analyst
GBM Records Management Program –receive data and do quality assurance check on data, and conduct sample testing on it; more validation than requirements. This role will serve as a Business Analyst for assisting with remediating issues identified from our Quality Assurance checks along with playing a key role in executing sample testing of record types within the GBM Internal Controls Records and Information Management (RIM) Perimeter.
Typical Day in Role:
• Contribute to the development, implementation, and maintenance of GBM’s records management program, in compliance with the Banks’s records management Framework, Policies, Procedures and Guidelines.
• Participate as a member of the team to innovate and create ways to identify, retain, retrieve and dispose of records in an efficient and effective manner.
• Lead the documentation and maintenance of procedures and standards in collaboration with Compliance, Technology and other control and support functions for recordkeeping requirements.
• Act as a global records management subject matter expert for GBM
• Coordinate with stakeholders on periodic testing and validation of recordkeeping requirements
• Support the creation and review of holistic dashboards and reports for GBM senior management and executive committees, including metrics in collaboration with stakeholders
• Assist in the production of relevant, accurate, and comprehensive information in response to regulatory inquiries
• Execute reviews, analysis and investigations of operational process and control breakdowns across GBM of incidents with a potential regulatory impact
• Perform data analysis for incidents, utilizing a repeatable and scientific methodology to determine incident impact and suggest findings
• Other duties and projects as may be assigned from time to time.
Must Have Skills:
• 10+ years of industry experience (Corporate/Investment Banking or Compliance) with 5+ years of experience as a Business Analyst, Project Manager, or related field
• 5+ years of Capital Markets Experience – (US &/OR Canada regulations, bonds, trade)
• Experience with record management at a Financial Institute
• Previous experience with design and implementation of internal control policies or processes.
Nice-To-Have Skills:
• Experience with Regulatory Records Management, including demonstrated knowledge of RIM perimeter and functions
• Proficiency in data analysis, specifically with Python programming language and with use of Jupyter Notebooks, is an asset
• Proficient with data visualization tools such as PowerBI or Tableau
• French, Spanish or Portuguese is an asset
Education:
• Bachelor’s degree in business, finance, or related field
Location Address: HYBRID (2 days per week on-site) - 40 King Street W 10th Floor
Story Behind the Need
• Business group: US Regulatory and Business Initiatives
• Project/Role: GBM Records and Information Management – Business Analyst
GBM Records Management Program –receive data and do quality assurance check on data, and conduct sample testing on it; more validation than requirements. This role will serve as a Business Analyst for assisting with remediating issues identified from our Quality Assurance checks along with playing a key role in executing sample testing of record types within the GBM Internal Controls Records and Information Management (RIM) Perimeter.
Typical Day in Role:
• Contribute to the development, implementation, and maintenance of GBM’s records management program, in compliance with the Banks’s records management Framework, Policies, Procedures and Guidelines.
• Participate as a member of the team to innovate and create ways to identify, retain, retrieve and dispose of records in an efficient and effective manner.
• Lead the documentation and maintenance of procedures and standards in collaboration with Compliance, Technology and other control and support functions for recordkeeping requirements.
• Act as a global records management subject matter expert for GBM
• Coordinate with stakeholders on periodic testing and validation of recordkeeping requirements
• Support the creation and review of holistic dashboards and reports for GBM senior management and executive committees, including metrics in collaboration with stakeholders
• Assist in the production of relevant, accurate, and comprehensive information in response to regulatory inquiries
• Execute reviews, analysis and investigations of operational process and control breakdowns across GBM of incidents with a potential regulatory impact
• Perform data analysis for incidents, utilizing a repeatable and scientific methodology to determine incident impact and suggest findings
• Other duties and projects as may be assigned from time to time.
Must Have Skills:
• 10+ years of industry experience (Corporate/Investment Banking or Compliance) with 5+ years of experience as a Business Analyst, Project Manager, or related field
• 5+ years of Capital Markets Experience – (US &/OR Canada regulations, bonds, trade)
• Experience with record management at a Financial Institute
• Previous experience with design and implementation of internal control policies or processes.
Nice-To-Have Skills:
• Experience with Regulatory Records Management, including demonstrated knowledge of RIM perimeter and functions
• Proficiency in data analysis, specifically with Python programming language and with use of Jupyter Notebooks, is an asset
• Proficient with data visualization tools such as PowerBI or Tableau
• French, Spanish or Portuguese is an asset
Education:
• Bachelor’s degree in business, finance, or related field