Senior Regulatory Analyst, Registrant Oversight - Calgary - Klopp Richards & Associates

    Klopp Richards & Associates
    Description

    Senior Regulatory Analyst, Registrant Oversight Role at Klopp-Richards Associates:

    Job Summary

    We are seeking a seasoned Senior Regulatory Analyst to lead complex registrant compliance reviews with dealers, advisers and investment fund managers. The ideal candidate will possess excellent analytical judgment and strong verbal/written communication skills.

    Key Responsibilities:

    • Analyze regulatory obligations applying to business operations; manage professional relationships with senior management of regulated entities;
    • Maintain books and records for reviews; oversee implementation of registered firm action plans;
    • Conduct senior-level quality reviews of analysis, review findings and compliance reports; 
    • Provide administrative support to the Team Lead; mentor less experienced analysts during compliance reviews.




        

  • Work in company

    Senior Regulatory Analyst, Registrant Oversight

    Only for registered members

    We are looking for a Senior Regulatory Analyst who will lead complex registrant compliance reviews with dealers, advisers, and investment fund managers. · A university degree in business discipline or equivalentCPA or CFA designation is preferred10+ years experience in independen ...

    Calgary, Alberta

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    Senior Regulatory Analyst, Registrant Oversight

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  • Work in company

    Senior Regulatory Analyst, Registrant Oversight

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