Regulatory Compliance & Client Onboarding Specialist
$45 per hourTemporary
Our client, a leading financial institution, is seeking a Regulatory Compliance & Client Onboarding Specialist for a 6-month contract with strong potential for extension. This hybrid role requires 3 days per week in office, with occasional additional onsite days based on project needs. The role supports regulatory client outreach, tax form validation, and Capital Markets onboarding, while offering exposure to large-scale global regulatory remediation initiatives.
Responsibilities
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- Conduct end-to-end client onboarding activities for Capital Markets clients, including data collection, validation, and documentation management.
- Execute tax form investigations, assessments, and regulatory outreach to ensure compliance with global regulatory standards.
- Collaborate with Front Office, Legal Documentation, Credit, Operations, and external clients to gather and verify required information.
- Ensure compliance with applicable global regulatory frameworks (e.g., Dodd-Frank, EMIR, MiFID, MAS, HKMA, CSA, ASIC, CIRO).
- 5-7+ years of experience in Regulatory Compliance, Client Onboarding, Trade Control, Trade Desk Support, or Operations within Capital Markets.
- Strong understanding of the global regulatory environment, including: Dodd Frank (CFTC & SEC), CSA, EMIR, MiFID, HKMA, MAS, ASIC, CAT NMS, CIRO (IIROC)
- Experience working with institutional clients (asset managers, pensions, insurance companies, sovereign wealth funds).
- Strong research, analytical, and documentation capabilities.
- Technical proficiency and comfort working with new and existing software tools.
- Expert use of S&P Global / IHS Markit regulatory portals.
- Knowledge of Retail, Commercial, or Wealth business lines within financial institutions.
- Experience with data management practices, tools, and methodologies.
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Vacancy posted a month ago
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