The Client Services and Data Management (CS&DM) team is mandated to execute the end-to-end onboarding and manage the entire client lifecycle for all direct clients, funds, shared clients, and broker counterparties within the Capital Markets lines of business.
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Reporting to the Director, this role is essential for maintaining accurate, validated, and compliant client data throughout the client's tenure. You will be responsible for ensuring all existing and new global regulatory and reporting requirements—including those related to tax documentation—are met by collecting necessary data, executing client outreach, and storing information in the appropriate systems. You will serve as a key internal consultant and executor for large-scale regulatory remediation projects and strategic initiatives led by the Head of CS&DM.
Advantages
●Strategic Impact: Play a pivotal control role that directly impacts the firm's ability to transact globally, mitigating significant regulatory risk.
●Global Exposure: Work with a comprehensive suite of international regulations (Dodd-Frank, EMIR, MiFID, APAC regulations) and sophisticated institutional clients.
●Career Growth: Participate and support major strategic initiatives and large-scale global capital markets regulatory remediation projects, offering significant exposure and advancement opportunities.
●Collaborative Environment: Work cross-functionally with high-level internal stakeholders, including Front Office, Legal, Credit, and Operations.
Responsibilities
●Client Lifecycle Management: Execute end-to-end client onboarding activities, ensuring accurate data and documentation collection for all Capital Markets clients.
●Regulatory Compliance & Outreach: Lead the investigation, assessment, and client outreach activities related to tax forms and other regulatory documentation to ensure full compliance.
●Data Integrity: Capture, validate, store, and maintain accurate client data and supporting documentation in the Book of Record systems throughout the client's lifecycle, meeting various reporting needs.
●Stakeholder Coordination: Act as the central liaison, effectively interacting with Front Office, Legal Documentation, Credit, Operations, and clients to facilitate the seamless collection and validation of required information.
●Project Execution: Assist the Director with various ad-hoc, business-as-usual (BAU) projects, and strategy initiatives, providing essential support for global capital markets regulatory remediation efforts.
Qualifications
Must Have (Minimum 5-7 Years Experience)
●Core Functional Expertise (5-7 years minimum): Experience in Regulatory Compliance, Client Onboarding, and Trade Control/Trade Desk Support or operations, preferably within the Capital Markets line of business.
●Global Regulatory Fluency: Familiarity with applicable foreign and domestic regulations, policies, and guidelines including:
○Dodd Frank (CFTC & SEC), CSA, EMIR, MiFID, HKMA, MAS, ASIC, CAT NMS, and CIRO (IIROC).
●Capital Markets Knowledge: Strong familiarity with the Capital Markets clientele, business, and product knowledge.
●Institutional Client Experience: Direct experience with institutional client types, including Asset Managers, Insurance companies, Pensions, and Sovereign Wealth Funds.
●Technical Proficiency: Expert use of the S&P Global (formerly IHS Markit) portal for access to regulatory data and documentation is required.
●Core Skills: Excellent research, analysis, and documentation skills; comfort level working with existing and new technology and software applications.
Nice to Have
●Knowledge of Retail, Commercial, and Wealth Business client processes.
●Data management experience and applicable techniques.
●Working experience on specific Canadian regulations such as: CSA Business Conduct Rules, CDIC Stay Regulations, or Canadian Representation Letter 2.
Summary
This Senior Specialist role offers a unique opportunity to act as a crucial control partner in a major Capital Markets operation. If you possess expert regulatory knowledge, institutional client onboarding experience, and are proficient with industry tools like S&P Global, you are the candidate we are looking for. Apply now to leverage your expertise in a role that drives global compliance and operational efficiency.
Randstad Canada is committed to fostering a workforce reflective of all peoples of Canada. As a result, we are committed to developing and implementing strategies to increase the equity, diversity and inclusion within the workplace by examining our internal policies, practices, and systems throughout the entire lifecycle of our workforce, including its recruitment, retention and advancement for all employees. In addition to our deep commitment to respecting human rights, we are dedicated to positive actions to affect change to ensure everyone has full participation in the workforce free from any barriers, systemic or otherwise, especially equity-seeking groups who are usually underrepresented in Canada's workforce, including those who identify as women or non-binary/gender non-conforming; Indigenous or Aboriginal Peoples; persons with disabilities (visible or invisible) and; members of visible minorities, racialized groups and the LGBTQ2+ community.
Randstad Canada is committed to creating and maintaining an inclusive and accessible workplace for all its candidates and employees by supporting their accessibility and accommodation needs throughout the employment lifecycle. We ask that all job applications please identify any accommodation requirements by sending an email to accessibility@randstad.ca to ensure their ability to fully participate in the interview process.
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The Client Services and Data Management (CS&DM) team is mandated to execute the end-to-end onboarding and manage the entire client lifecycle for all direct clients, funds, shared clients, and broker counterparties within the Capital Markets lines of business.
Reporting to the Director, this role is essential for maintaining accurate, validated, and compliant client data throughout the client's tenure. You will be responsible for ensuring all existing and new global regulatory and reporting requirements—including those related to tax documentation—are met by collecting necessary data, executing client outreach, and storing information in the appropriate systems. You will serve as a key internal consultant and executor for large-scale regulatory remediation projects and strategic initiatives led by the Head of CS&DM.
Advantages
●Strategic Impact: Play a pivotal control role that directly impacts the firm's ability to transact globally, mitigating significant regulatory risk.
●Global Exposure: Work with a comprehensive suite of international regulations (Dodd-Frank, EMIR, MiFID, APAC regulations) and sophisticated institutional clients.
...
●Career Growth: Participate and support major strategic initiatives and large-scale global capital markets regulatory remediation projects, offering significant exposure and advancement opportunities.
●Collaborative Environment: Work cross-functionally with high-level internal stakeholders, including Front Office, Legal, Credit, and Operations.
Responsibilities
●Client Lifecycle Management: Execute end-to-end client onboarding activities, ensuring accurate data and documentation collection for all Capital Markets clients.
●Regulatory Compliance & Outreach: Lead the investigation, assessment, and client outreach activities related to tax forms and other regulatory documentation to ensure full compliance.
●Data Integrity: Capture, validate, store, and maintain accurate client data and supporting documentation in the Book of Record systems throughout the client's lifecycle, meeting various reporting needs.
●Stakeholder Coordination: Act as the central liaison, effectively interacting with Front Office, Legal Documentation, Credit, Operations, and clients to facilitate the seamless collection and validation of required information.
●Project Execution: Assist the Director with various ad-hoc, business-as-usual (BAU) projects, and strategy initiatives, providing essential support for global capital markets regulatory remediation efforts.
Qualifications
Must Have (Minimum 5-7 Years Experience)
●Core Functional Expertise (5-7 years minimum): Experience in Regulatory Compliance, Client Onboarding, and Trade Control/Trade Desk Support or operations, preferably within the Capital Markets line of business.
●Global Regulatory Fluency: Familiarity with applicable foreign and domestic regulations, policies, and guidelines including:
○Dodd Frank (CFTC & SEC), CSA, EMIR, MiFID, HKMA, MAS, ASIC, CAT NMS, and CIRO (IIROC).
●Capital Markets Knowledge: Strong familiarity with the Capital Markets clientele, business, and product knowledge.
●Institutional Client Experience: Direct experience with institutional client types, including Asset Managers, Insurance companies, Pensions, and Sovereign Wealth Funds.
●Technical Proficiency: Expert use of the S&P Global (formerly IHS Markit) portal for access to regulatory data and documentation is required.
●Core Skills: Excellent research, analysis, and documentation skills; comfort level working with existing and new technology and software applications.
Nice to Have
●Knowledge of Retail, Commercial, and Wealth Business client processes.
●Data management experience and applicable techniques.
●Working experience on specific Canadian regulations such as: CSA Business Conduct Rules, CDIC Stay Regulations, or Canadian Representation Letter 2.
Summary
This Senior Specialist role offers a unique opportunity to act as a crucial control partner in a major Capital Markets operation. If you possess expert regulatory knowledge, institutional client onboarding experience, and are proficient with industry tools like S&P Global, you are the candidate we are looking for. Apply now to leverage your expertise in a role that drives global compliance and operational efficiency.
Randstad Canada is committed to fostering a workforce reflective of all peoples of Canada. As a result, we are committed to developing and implementing strategies to increase the equity, diversity and inclusion within the workplace by examining our internal policies, practices, and systems throughout the entire lifecycle of our workforce, including its recruitment, retention and advancement for all employees. In addition to our deep commitment to respecting human rights, we are dedicated to positive actions to affect change to ensure everyone has full participation in the workforce free from any barriers, systemic or otherwise, especially equity-seeking groups who are usually underrepresented in Canada's workforce, including those who identify as women or non-binary/gender non-conforming; Indigenous or Aboriginal Peoples; persons with disabilities (visible or invisible) and; members of visible minorities, racialized groups and the LGBTQ2+ community.
Randstad Canada is committed to creating and maintaining an inclusive and accessible workplace for all its candidates and employees by supporting their accessibility and accommodation needs throughout the employment lifecycle. We ask that all job applications please identify any accommodation requirements by sending an email to accessibility@randstad.ca to ensure their ability to fully participate in the interview process.
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