Assistant Manager, Regulatory Operations Control (GWO – 12-Month Contract)

The Role

As Assistant Manager, Regulatory Operations Control within Global Wholesale Operations, you will help support a strong regulatory control environment for Global Banking and Markets. This role focuses on monitoring controls related to global regulatory obligations, including CFTC, EMIR, SEC and MAS requirements, as well as valuation and collateral management activities. You will play a key role in reviewing control outputs, resolving valuation and collateral disputes, supporting regulatory inquiries, and helping improve processes that reduce risk, strengthen reporting accuracy and support operational effectiveness across Capital Markets.

Is this role right for you? In this role, you will:

Build and maintain working knowledge of regulatory requirements relevant to Capital Markets operations, including CFTC, EMIR, SEC and MAS, with a focus on derivative product lifecycle, valuation and collateral management controls.
Execute daily and periodic monitoring controls related to delivery of daily marks, valuation reconciliation, collateral disputes and related regulatory control processes.
Manage the end-to-end resolution of valuation and collateral disputes with counterparties, including investigation, escalation, documentation, resolution tracking and management reporting.
Support internal audits, control testing, management requests and regulatory inquiries by preparing documentation, evidence and analysis as required.
Partner with trading, technology, internal control, compliance and operations teams to identify regulatory issues, control gaps and opportunities to improve or automate manual processes.
Contribute to business requirements, test scenarios, user acceptance testing and process documentation for regulatory control enhancements.
Prepare materials for oversight committees, incident reporting and management updates, including agendas, minutes, presentations and supporting analysis.
Monitor the completeness, accuracy and timeliness of regulatory reporting activities in accordance with standard operating procedures and control expectations.
Maintain accurate records, supporting evidence and retention documentation for regulatory controls, reconciliations, disputes and related processes.
Support ongoing maintenance of procedures, control documentation and process materials related to reconciliation and regulatory operations controls.

Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if you have:

Post-secondary degree or diploma in Business, Finance, Economics, Accounting or a related field, or equivalent work experience.
2+ years of experience in Capital Markets, regulatory operations, middle office, collateral management, valuation control, trade support or a related financial services operations environment.
Working knowledge of derivatives, trade lifecycle processes, valuation reconciliation, collateral dispute management or regulatory reporting controls.
Familiarity with regulatory requirements or control processes related to CFTC, EMIR, SEC, MAS or comparable Capital Markets regulations.
Experience preparing or reviewing control evidence, management reporting, committee materials, incident reports, audit responses, regulatory inquiry materials or standard operating procedures.
Advanced Microsoft Excel skills, including formulas, pivot tables, lookups or data analysis functions.
Working knowledge of Microsoft PowerPoint and Word for reporting, presentation and documentation purposes.
Power BI, business analysis, project delivery, user acceptance testing or process automation experience is an asset.