The ideal candidate will have graduated from an accredited four-year undergraduate university and have a minimum of 3 – 5 years' experience in enterprise software implementation specifically working in the finance and/or securities/compliance industry. In addition, the position requires a self-starter with strong communication skills, the ability to understand regulatory financial controls and related compliance concepts, and the desire and ability to maintain the company's strong compliance monitoring program and record.

Responsibilities:

• Implement proprietary compliance monitoring software in a number of locations for a variety of applications, typically focused in the Broker Dealer transaction reporting space but have clients in healthcare, pension funds, and anti-money laundering
• Familiarity with financial control construction, financial control change management & regression testing, the incumbent will be in essence building and testing regulatory financial controls
• Assist in the design, engineering & execution of the firms core offering of Compliance Workbench products
• Client relations, relationship management
• Draft, update and implement firm policies, procedures & templates associated with each bespoke client build in addition to required proprietary documentation requirements
• Potential to oversee junior implementation analysts

Qualification & Requirements:

• Strong time management skills are essential
• Familiarity with both applicable Broker Dealer regulations, Blue Sheets, OATS, Consolidated Audit Trail, TRACE, Short interest are a plus
• Experience in either cash equities Middle Office or Post Trade support a tremendous asset, at minimum must understand/ have experience with the cash equity trade lifecycle;
• SQL, JAVA, VBA an asset
• Technical writing skills an asset
• FINRA Series 7 and 24 exams a plus