Operations/Risk Officer (VBA/Excel)

  • Company:
    Prime Hires
  • Location:
  • Salary:
    negotiable / month
  • Job type:
  • Posted:
    14 hours ago
  • Category:
    Finance and Insurance

Job Description

Our client is a top financial institution with significant North American holdings. They have operations across most major verticals, including institutional & corporate, wealth management, private client, commercial banking, treasury, and retail banking.


To the Client:
• Analyze and maintain operational data and ensure necessary procedures, due diligence, quality checks are followed to support the accuracy of all transactions at all times.
• Develop improved business functionality that increases efficiency and reduce turnaround time by strategically mapping-out, planning, and managing various process improvements.
• Report to and assist Team Manager in daily tasks and duties and ensure issues are handled appropriately by taking ownership, performing quality investigations, escalating issues timely when necessary.
• Maintain a green Service Level Agreements (SLA) by completing your work in an accurate, timely and efficient manner at all times.
• Understand, comply and apply bank/department operating policies and procedures at all times including the Wealth Canada AML Policy. This will include completing all required training materials/courses. Responsible to report a UTR for any unusual financial activity or behavior.

Business Operations Risk and Control:
• Understand, comply and apply bank/department operating policies and procedures at all times including the Wealth Canada AML Policy. This will include completing all required training materials/courses. Responsible to report a UTR for any unusual financial activity or behavior.
• Ensure company policies align with advance business objectives. Be knowledgeable of and comply with industry codes of conduct and with laws and regulations.
• Ensure your daily work kept for audit purposes is accessible, organized and filed according to Wealth record retention policy.
• Ensure compliance with best business practices throughout organization and share the responsibility for delivering a consistent Operational Excellence by following Framework and through your own accountability & objectives.

To the Team and Development
• Maintain positive client and partner relationships and look for ways to contribute to positive ciLEI score. Actively participate in call coaching and utilize ticketing when required.
• Actively participate in regular team meetings and coaching sessions and contribute to a positive working environment by participating in work committees and events.
• Contribute to respectful, cooperative, non-discriminatory and supportive workplace environment (physical work space as well as the location of any meeting or event that is organized) and communicate with management teams to confirm execution of company processes
• Be positive and open to feedback while identifying solutions/recommendations for any opportunities
• Demonstrate flexibility with working environment changes and requirements. Availability to work shifting schedule to ensure coverage is fundamental to your position.

Job Specific Accountabilities
• Input trade instructions received via fax and e-mails, ensuring the data is complete.
• Responsible for the accurate and timely inputting of transactions to client accounts.
• Notify clients and Private Trust Business received trades are incomplete or delayed.
• Work closely with our Settlements team and external clients to investigate and resolve unmatched or unsettled trades.
• Responsible for managing the allocation of segregated securities for our book of record to ensure TDW is compliant with regulatory requirements.
• Responsible for monitoring daily CNS activities and ensuring appropriate action is taken (borrows, issuing buy-ins, etc.) to mitigate liabilities related to failing deliveries.
• Act as resource regarding any clearing reconciliation inquiries.
• Work directly with business on projects to improve processes on internal proprietary systems that manage all borrow and segregation activity.
• Cross-training to support Clearing and Segregation officers during staff absences.

1. College/ University Degree.
2. Advance knowledge of Excel including use of formulas, mass data handling, Pivot tables and VBA.
3. Prior Wealth industry knowledge and extensive experience in an operations position, or similar an asset
4. Exceptional problem solving and communication skills.
5. Ability to promote efficiency toward achieving business objectives and profitability.

Must have:
Prior Operations officer experience is required.
Intermediate to advance excel

Nice to have:
CDS / DTC system knowledge and CSC.
Exp working on trade entries

MON-FRI 8:30am to 5:00pm

12 month contract

We thank you for your interest in the position, however, only those who are qualified will be contacted

Inclusion and Equal Opportunity Employment

Our client is an equal opportunity employer committed to diversity and inclusion; creating an inclusive environment where all team members and clients feel like they belong. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, Aboriginal/Native American status or any other legally-protected factors. We seek applicants with a wide range of abilities, and we provide an accessible candidate experience; accommodations during the application process are available upon request.

Company Description

At Prime Hires our mandate is simple – provide top-tier talent to our clients and unsurpassed career opportunities to our candidates while ensuring the best fit for both. We are perfectionists who excel at working to ensure we have a perfect match. With experience spanning almost 3 decades and offices across North America, we have built our reputation on the strong relationships and trust of our clients and candidates. Our expertise is in Temporary, Contract and Permanent placements in Finance, Accounting, Administrative & Clerical, Office Operations, Contact Centre, and Technology.