Senior Regulatory Analyst, Registrant Oversight at Klopp Richards & Associates

Job Description:

Latest job information from Klopp Richards & Associates for the position of Senior Regulatory Analyst, Registrant Oversight. If the Senior Regulatory Analyst, Registrant Oversight vacancy in Calgary matches your qualifications, please submit your latest application or CV directly through the updated Jobkos job portal.

Please note that applying for a job may not always be easy, as new candidates must meet certain qualifications and requirements set by the company. We hope the career opportunity at Klopp Richards & Associates for the position of Senior Regulatory Analyst, Registrant Oversight below matches your qualifications.

Our Calgary client is looking for a Senior Regulatory Analyst who will be responsible for leading complex registrant compliance reviews with dealers, advisers, and investment fund managers.

If you have experience in producing high-quality written regulatory reports ensuring registrant's compliance with securities legislation this permanent hybrid role may be a great fit for you.

Key responsibilities include:

• Analyzing, researching, interpreting and demonstrating how regulatory obligations apply to the business operations
• Managing professional relationships with senior management of regulated entities
• Maintaining books and records for reviews
• Overseeing and evaluating the implementation of registered firm action plans
• Conducting senior-level quality reviews of analysis, review findings and compliance reports
• Mentoring less experienced Registrant Oversight Analysts during compliance reviews by being a subject matter expert
• Providing administrative and leadership support to the Team Lead and management
• Researching, preparing and presenting internal memos covering various complex issues
• Summarizing research, analysis, and conclusions

The ideal candidate will possess:

• A university degree in business discipline or equivalent
• CPA or CFA designation is preferred
• 10+ years experience in independently conducted compliance reviews and mentoring of junior and intermediate staff
• Strong analytical judgment
• Ability to apply legislation to books and records
• Excellent critical thinking and analytical skills
• Strong verbal and writing communication

If you are interested in this opportunity, please send a copy of your resume to Caelly at .

Richards & Associates would like to thank all applicants in advance for their interest in this opportunity.

Job Info:

• Company: Klopp Richards & Associates
• Position: Senior Regulatory Analyst, Registrant Oversight
• Work Location: Calgary
• Country: CA

How to Submit an Application:

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