Risk Analyst/Capital Market

  • Date Posted May 27, 2022
  • Location Toronto, Ontario
  • Job Type Contract
  • Job ID 14588

Are you collaborative, innovative, and enjoy visionary thinking? Are you a self-motivated individual who is hardworking with proven work history? Are you a forward-thinking, creative individual who willingly takes ownership of complex and challenging initiatives? Then, Apply Now!

Working with one of the top financial clients this role calls for a Risk Analyst/Capital Marketwho will be responsible for leading a team of professional compliance analysts to manage and foster a relationship with the US Compliance team, including assessing for new regulations as they are related to surveillance, collaborates, and performs annual gap analysis and remediate the identified gap and work in partnership to advance any projects that directly impact surveillance. The ideal candidate is someone who is a great leader with an excellent ability to manage people.


  • Managing all the compliance oversight and escalation for all issues and events originating out of the US region.
  • Communicate and escalate issues and events to regional compliance teams, Traders, and Supervisors.
  • Performs quarterly quality assurance review (QAR) of some of the reviews performed by the Analysts.
  • Using the findings from the QAR process to train the Analysts to improve their analytics of alerts.
  • Lead the global quarterly meetings with all the regional compliance teams by sharing and discussing key risks and trends identified through surveillance.
  • Share the responsibility with TBM to host the bi-monthly Supervision & Surveillance forum calls.
  • Proactively assess and remediate for risk by engaging regional Compliance colleagues as well as the client’s 1B partner to discuss and further develop a governance structure to close the gap.
  • Assist in the design and maintenance of written Compliance procedures
  • Assist in the calibration process and regulatory reviews, including inquiries, audits, and exams
  • Actively monitor regulatory developments and trends with the regional compliance team and take appropriate action to ensure the business unit complies with new or amended regulations
  • Interact with IT support and Risk Management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
  • Supporting the business in the development of policies, procedures and training programs to facilitate compliance with regulatory requirements

Desired Skill Set:

  • 5 years of experience as a Risk Analyst
  • 5 years of previous experience being a people manager
  • 5 years of experience developing new reports and reviews
  • 5 years of proven experience in negotiation
  • 5 years of solid experience in Capital markets
  • Ability to lead and develop a team to bring out the best in their abilities
  • Excellent communication with a solid holding on MS Suites – Word, Excel, Outlook
  • CFA or CSC Certification
  • Familiarity with the Universal Market Integrity Rules (UMIR), Le Bourse Exchange, CFTC, Volcker's, FCA's Market Abuse Regulation, NFA and all applicable securities Commission rules

Nice to have:

  • MBA in economics
  • Knowledge in Compliance
  • Knowledge of Regulatory

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