Sr. CAT Compliance Analyst

Capco; Toronto; On-site; CAD 80,000 - 110,000; Full time

Job summary

A leading company in financial services is seeking a Project Manager to lead mission-critical projects. The ideal candidate will have expertise in regulatory frameworks and the ability to work with large data sets. Join a dynamic team and contribute to innovative solutions in a rapidly evolving industry.

Benefits

Access to industry-focused talent globally

Best-in-class innovative products

Extended global market reach

Deep domain expertise

Qualifications

• In-depth knowledge of CAT regulation or similar regulations.
• Experience with large data sets and regulatory trade reporting.

Responsibilities

• Monitor trading activity and ensure compliance with regulations.
• Work with compliance, legal, and IT teams to analyze issues.

Skills

SQL

Data Analysis

Problem Solving

Tools

Excel

ETL

Job description

Capco is a distinctly and positively different place to work. Much more than consultants, we are active participants in the global financial services industry. Our passionate business and technology professionals enjoy a unique environment where they are actively encouraged to apply intellect, innovation, experience and teamwork. We are dedicated to fully supporting our world-class clients as they respond to challenges and opportunities in Banking & Payments, Capital Markets, Insurance, Wealth & Asset Management, and Energy. Experience Capco for yourself at capco.com.

Let’s Talk About You

You want to Own Your Career. You’re serious about rising as far and as fast as your work and achievements can take you. And you’re ready to write the next chapter of your career story: a challenging and rewarding role as a Capco Project Manager.

Let’s Get Down to Business

Capco is looking for talented, innovative, and creative people to join our incredible and growing team focused on our financial services clients. We seek experienced Technology Project Managers with exceptional domain expertise who can work directly with our clients on mission-critical projects.

About the Role

Responsibilities

• The Consolidated Audit Trail (CAT) is a regulatory framework established by the SEC to track all order and trading activity throughout U.S. markets for listed equities and options.
• It aims to enable regulators to efficiently monitor trading activity and ensure compliance with regulatory obligations.

Show Us What You’ve Got

• In-depth knowledge and experience with CAT regulation & rules in a major financial institution OR similar experience with other major regulations such as MIFIR, DF, SFTR.
• Understanding of capital markets environments, including listed equities and options trade flows and lifecycle events.
• Ability to work with compliance, legal, and IT teams to analyze issues, identify root causes, and document requirements and solutions.
• Fluent in working with large data sets (millions of records) using SQL, advanced Excel functions, macros, ETL processes, data mapping, and transformation.
• Experience with regulatory trade reporting concepts like controls, reconciliations, reference data enrichment, and data backloading.
• Ability to guide clients and suggest solutions and best practices for issues such as source-to-back reconciliation.
• Self-starter with the ability to work independently.
• Experience creating data load files, submitting to FINRA, and analyzing response files and errors.

Next Steps

We offer:

• Access to industry-focused talent globally.
• Leverage of best-in-class innovative products and solutions for complex architecture and large-scale transformation.
• Extended global market reach.
• Deep domain expertise within financial services and energy sectors.

Capco is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics.