- You will review client documentation for material changes in accordance with FACTA/CRS and QI policies and procedures updating related client information in internal MD systems for tax reporting to the IRS and CRA.
- You will ensure the integrity of data, including management of ongoing reports that will flag potential integrity issues, communicating and managing data and documentation deficiencies, and maintaining related logs.
- You will perform regulatory monitoring on clients, track reviews, perform investigations and escalate concerns to management.
- You will play a critical role in the identification and escalation of unusual activity, in view of meeting regulatory obligations.
- You will facilitate daily/weekly and monthly transaction monitoring by reviewing alerts in both the RCI system and manual reporting, conducting investigations, and escalating alerts and high-risk clients to management.
- You will run client and fund lists to screen for Designated Persons, Sanctions exposure, Politically Exposed Persons, and Special Interest Persons.
- You will ensure to provide feedback on process improvements, inaccuracies, and efficiencies.
- Understand how the company's risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Any other administrative, remediation or project-based duties as required.
- Champion a high-performance environment and contributes to an inclusive work environment.
- Relevant experience in the financial services industry.
- Demonstrated ability with Microsoft Office Suite.
- Intimate knowledge of: R-Broker, MX360, MD1, SPM and Open Advantage
- Knowledge of key Canadian regulations such as Global Tax reporting (FATCA & CRS), Foreign Tax Compliance Act, Qualified Intermediaries, FINTRAC and OSFI
- Working knowledge and understanding of security, insurance, trust and estate industry regulations
- Bilingualism (English/French)
- Industry Related Courses – completion of Certified Anti-Money Laundering Specialist (CAMS). Accounting designation or other financial industry designations would be considered.
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Regulatory Affairs Coordinator - Ottawa, Canada - MD Financial Management
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