Compliance analyst, Trade surveillance

Found in: Jooble CA O C2 - 7 days ago

Toronto ON, Canada Nexus Systems Group Inc. Full time

Trade Surveillance Analyst x 2
Typical Day in Role:
The Trade Surveillance Analyst will report into the Senior Manager, OTC Trade Surveillance and collaborate with various internal stakeholders to support processes within the Trade Surveillance program. Candidate should possess a combination of in-depth knowledge of Capital Markets, OTC Products, trade lifecycle, trading strategies, trade surveillance and market abuse concepts.
• Translate business needs into requirements, identify opportunities for process improvement and ensuring delivered solutions meet business expectations in managing/mitigating risks.
• Act as a resource for the team by supporting the OTC Trade Surveillance department Senior Manager(s) and assisting Compliance Officers and other Senior Compliance Officers in the execution of their duties. Act as Subject matter expert for issues involving business divisions, Operations, Finance and any other external group as required.
• Execute test cases in Trades Surveillance solution/applicable source system(s) and document results from testing in JIRA.
• Act independently, conduct research and perform analyses in support of regulatory or marketplace inquiries, investigations and/or examinations; including internal matters escalated to Trade Surveillance. Recommend solutions and actions to resolve outstanding issues. Escalate matters requiring further investigation or specialist assistance.
• Develop and deliver periodic and ad hoc compliance training for team members based upon particular expertise. This may, on occasion, extend to external stakeholders.
• Supports effectiveness testing of business supervision related processes and controls, including identification of gaps in the existing trade surveillance processes.
• Assist in the development and enhancement of policies, procedures and processes of the surveillance program. Assist other team members in continually evaluating compliance procedures and in drafting and updating procedures. Provide back-up support within the team and work on other projects as assigned.
• Assist in the risk assessment of existing controls in adherence with enterprise risk assessment procedures and standards.
• Analyze and process data relevant to KRIs and KPIs to monitor the effectiveness of the GCTS program.
• Develop and maintain productive relationships with key stakeholders.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Champion a customer focused culture and leverage broader Bank relationships, systems and knowledge.
• Champions a high-performance environment and contributes to an inclusive work environment.
Candidate Requirements/Must Have Skills:
1) 5+ years of experience with foreign exchange, fixed income, commodities and/or OTC derivatives trading markets , including knowledge of hedging and other trading strategies
2) 8+ years of related trading or surveillance experience at a financial institution and/or regulated securities dealer
3) 5+ years’ experience in building testing strategies and executing UAT
4) Previous experience in identifying external market activity, news and additional factors that may influence trading activities
5) 2+ years of regulatory and compliance experience
Nice-To-Have Skills:
1) Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course are helpful
2) An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules
Soft Skills Required:
Able to work independently and with other staff across functional lines within the Bank
Excellent oral and written communication skills
Education:
Post-Secondary education and/or professional designations
Best vs. Average Candidate
The best candidate would have strong trade surveillance experience and planning and test execution experience as well. #J-18808-Ljbffr

  • Trade Surveillance Analyst x 2

    Found in: Jooble CA O C2 - 7 days ago

    Toronto, ON, Canada Nexus Systems Group Inc. Full time

    Trade Surveillance Analyst x 2Typical Day in Role: The Trade Surveillance Analyst will report into the Senior Manager, OTC Trade Surveillance and collaborate with various internal stakeholders to support processes within the Trade Surveillance program. Candidate should possess a combination of in-depth knowledge of Capital Markets, OTC Products, trade...

  • Crossborder Trade Compliance Specialist TCRS3804

    Found in: beBee jobs CA - 3 days ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    HIGH LEVEL OVERVIEWWill be the subject matter expert in Trade Compliance for this family owned Global Company working in the University of Toronto, Mississauga campus area. Will be 100% on site with flexible working hours.EXPECTATIONSHere are some of the responsibilities:SME for all Trade Compliance - #1 positionFull responsibility for all Customs/Gov't...

  • Crossborder Trade Compliance Specialist TCRS3804

    Found in: Talent CA C2 - 6 days ago

    Toronto, Canada Trade Compliance Recruiting Solutions Full time

    HIGH LEVEL OVERVIEWWill be the subject matter expert in Trade Compliance for this family owned Global Company working in the University of Toronto, Mississauga campus area. Will be 100% on site with flexible working hours.EXPECTATIONSHere are some of the responsibilities:SME for all Trade Compliance - #1 positionFull responsibility for all Customs/Gov’t...

  • Crossborder Trade Compliance Specialist TCRS3804

    Found in: beBee S CA - 3 days ago

    Toronto, Canada Trade Compliance Recruiting Solutions Full time

    HIGH LEVEL OVERVIEWWill be the subject matter expert in Trade Compliance for this family owned Global Company working in the University of Toronto, Mississauga campus area. Will be 100% on site with flexible working hours.EXPECTATIONSHere are some of the responsibilities:SME for all Trade Compliance - #1 positionFull responsibility for all Customs/Gov't...

  • Compliance Analyst, Trade Supervision

    Found in: Talent CA C2 - 6 days ago

    Toronto, Canada Sun Life Full time

    Job Description : Wealth Management Canada Compliance is looking for a Tier 2 Bilingual Compliance analyst to join their dynamic team, reporting to the Director, Filed Supervision. The incumbent will be the Tier 2 analyst for Sun Life’s new investment dealer, Sun Life Canada Securities Inc. (SLCSI) and Sun life Financial Investment Services (Canada)...

  • Senior Trade Compliance Analyst

    Found in: Jooble CA O C2 - 10 hours ago

    Markham, ON, Canada Shein E-Commerce Co. Ltd. Full time

    About SHEIN SHEIN is a global fashion and lifestyle e-retailer committed to making the beauty of fashion accessible to all. We use on-demand manufacturing technology to connect suppliers to our supply chain, reducing inventory waste and enabling us to deliver a variety of affordable products to customers around the world. From our global offices, we reach...

  • Senior Trade Compliance Analyst

    Found in: Jooble CA O C2 - 5 days ago

    Markham, ON, Canada SHEIN Full time

    About SHEIN SHEIN is a global fashion and lifestyle e-retailer committed to making the beauty of fashion accessible to all. We use on-demand manufacturing technology to connect suppliers to our supply chain, reducing inventory waste and enabling us to deliver a variety of affordable products to customers around the world. From our global offices, we reach...

  • Compliance Analyst

    1 week ago

    Toronto, Canada Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • Senior Manager, Capital Markets Surveillance

    Found in: beBee S CA - 2 weeks ago

    TORONTO, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?You will be part of the RBC Compliance Surveillance Team, which is a core, global, second line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine...

  • Senior Manager, Capital Markets Surveillance

    Found in: beBee S CA - 2 weeks ago

    Toronto, Canada RBC - Royal Bank Full time

    Job SummaryJob DescriptionWhat is the opportunity?You will be part of the RBC Compliance Surveillance Team, which is a core, global, second line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine...

  • Trade Compliance Manager

    Found in: Jooble CA O C2 - 5 days ago

    Toronto, ON, Canada SHEIN Full time

    About SHEIN SHEIN is a global fashion and lifestyle e-retailer committed to making the beauty of fashion accessible to all. We use on-demand manufacturing technology to connect suppliers to our supply chain, reducing inventory waste and enabling us to deliver a variety of affordable products to customers around the world. Founded in 2012, SHEIN works with...

  • Trade Compliance Manager

    Found in: Jooble CA O C2 - 5 days ago

    Toronto, ON, Canada SHEIN Full time

    About SHEIN SHEIN is a global fashion and lifestyle e-retailer committed to making the beauty of fashion accessible to all. We use on-demand manufacturing technology to connect suppliers to our supply chain, reducing inventory waste and enabling us to deliver a variety of affordable products to customers around the world. From our global offices, we reach...

  • Compliance Analyst

    Found in: beBee jobs CA - 7 days ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest...

  • Senior Technology Compliance Analyst

    Found in: Jooble CA O C2 - 10 hours ago

    Markham, ON, Canada Shein E-Commerce Co. Ltd. Full time

    SHEIN is a global fashion and lifestyle e-retailer committed to making the beauty of fashion accessible to all. We use on-demand manufacturing technology to connect suppliers to our supply chain, reducing inventory waste and enabling us to deliver a variety of affordable products to customers around the world. Founded in 2012, SHEIN works with outstanding,...

  • Senior Technology Compliance Analyst

    Found in: Jooble CA O C2 - 5 days ago

    Markham, ON, Canada SHEIN Full time

    About SHEIN SHEIN is a global fashion and lifestyle e-retailer committed to making the beauty of fashion accessible to all. We use on-demand manufacturing technology to connect suppliers to our supply chain, reducing inventory waste and enabling us to deliver a variety of affordable products to customers around the world. Founded in 2012, SHEIN works with...

  • Compliance - Analyst

    4 days ago

    Toronto, Canada MUFG Full time

    Compliance - Analyst **Job Summary**: The primary responsibility is to assist the Chief Compliance Officer in the activities of compliance and anti-money laundering. **Primary Accountabilities**: **KYC**: - Conduct screening on Customers and related parties. - Be responsible for implementing KYC procedure - Prepares and monitors KYC review schedule based...

  • Compliance Analyst

    Found in: Jooble CA O C2 - 7 days ago

    Toronto, ON, Canada ProViso Staffing Full time

    Story Behind the Need • Business group: Support GBM Internal Control • Project: PTMM Monitoring globally ensuring execution and delivery in compliance with governing regulations, internal policies and procedures Candidate Value Proposition: • The successful candidate will have the opportunity to work on a new initiative for the bank to institute...

  • Director, Trading Conduct Compliance

    Found in: Jooble CA O C2 - 5 days ago

    Toronto, ON, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description Position Title: Director, Trading Conduct Compliance Department: Human Resources and Organizational Effectiveness Location: Toronto Status: Permanent Full-time (Hybrid) The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

  • Senior Manager, Capital Markets Surveillance

    Found in: beBee jobs CA - 7 days ago

    Toronto, Ontario, Canada RBC - Royal Bank Full time

    Job SummaryJob DescriptionWhat is the opportunity?You will be part of the RBC Compliance Surveillance Team, which is a core, global, second line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine...

  • Compliance Specialist- Monitoring

    Found in: Jooble CA O C2 - 5 days ago

    Toronto, ON, Canada Questrade, Inc. Full time

    Monday, April 8, 2024 Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team...