Regulatory Operations Manager – Banking

  • Date Posted Jul 24, 2023
  • Location Toronto, Ontario
  • Job Type Contract
  • Job ID 16077

If you are a self-confident, self-motivated person with a strong work ethic and excellent communication skills and you enjoy a fast-paced team-driven environment, contact us today!

Working with one of the top financial clients this role calls for a Regulatory Operations Manager – Banking who will be responsible for overseeing the successful submission of regulatory reporting and managing the resolution of discrepancies that arise. This candidate will be accountable for supporting implementation plans based on the operationalization of the regulatory trade reporting requirements. The successful candidate will be working closely with Technology to define business requirements and test cases, including the review and approval of test cases.


  • Assist in the design and implementation to ensure reporting accuracy, completeness, and timeliness of internal procedures and controls for trade reporting.
  • There is also ample opportunity to bring efficiencies and maturity to processes from an internal perspective, with the use of small tech capabilities such as Python, Alteryx and UiPath. The incumbent will actively be looked upon to design, influence and deliver upon initiatives.
  • Compliance: You will work closely with partner groups (Internal Audit, Compliance, Technology, etc.) regarding trade data quality and trade reporting inquiries. You will strive to create efficiencies across the teams and obtain formal guidance on the interpretation of regulatory reporting requirements, and escalate, as needed.
  • You will endeavour to proactively identify issues and scenarios for resolution before being identified by regulators and clients.
  • Audits / Exams: You will be responsible for supporting audits and exams as the regulatory reporting SME. This includes being comfortable and experienced in liaising with examiners, provisioning data and information upon request, and coordinating with other internal stakeholders to ensure alignment.
  • Post-examination requirements will also need to be tracked, actioned, and completed by prescribed deadlines to meet regulator and auditor expectations.
  • Relationship Management: You will effectively manage relationships with internal stakeholders (Technology, Operations, Compliance and Client Data Management) to operationalize regulatory reporting processes.
  • As the liaison between stakeholders, you will help drive delivery of trade regulatory reporting projects and resolve daily issues, as they arise.
  • You will be an active participant in trade regulatory project meetings, and as required, provide status and issue reports to Senior Management.
  • You will liaise on a regular basis with individuals in the various Lines of Business, at various levels, to gather and validate information, document, and test controls, along with monitoring and tracking.
  • Data: Work with the Chief Data Office to identify, define and document critical data elements and other information necessary to comply with regulatory trade reporting requirements.
  • Client Experience: You will assist our counterparties in resolving trade reporting issues and developing strong partnerships with the Business Leaders and Infrastructure Partners to ensure the timely resolution of issues impacting our clients.
  • You will also work to proactively identify issues and scenarios that could impact the client experience and work towards resolving them before they result in trade reporting discrepancies.

Desired Skill Set:

  • 8-10 years of strong experience in Global Regulatory Requirements including G20, IIROC, MiFID, LOPR, SFTR, etc.
  • Hands-on experience with MS Office including PowerPoint for decks and Excel
  • Adaptable and works well under pressure

Nice To Have:

  • Experience with Python, Alteryx and UiPath for process improvements and working with tech teams
  • Previous Banking Operations experience

BeachHead is an equal opportunity agency and employer. We advocate for you and welcome anyone regardless of race, color, religion, national origin, sex, physical or mental disability, or age.
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