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Financial Markets Compliance Specialist

1 week ago

Toronto, Ontario, Canada Nexus Systems Group Inc. Full time
About Nexus Systems Group Inc.

Nexus Systems Group Inc. is a leading organization in the financial industry, dedicated to delivering exceptional services and solutions to its clients. We are committed to excellence and strive to create a positive impact on the market.


Role Overview

We are seeking a highly skilled Financial Markets Compliance Specialist to join our team. The successful candidate will be responsible for executing first-line monitoring and testing controls related to the provision of pre-trade mid-market prices/marks (PTMM) provided to in-scope US Persons under CFTC External Business Conduct requirements for OTC derivative products.


Duties and Responsibilities
  • Review pre-execution communication, monitor PTMM provision, and collect evidence per client requirements.
  • Identify non-compliant trades and follow up with other teams to obtain relevant evidence.
  • Update and maintain PTMM records.

Candidate Requirements
  • 1-2 years experience as an Analyst (preferably in Compliance, Operations, Trading or Operational Risk).
  • Good knowledge of Capital Markets OTC derivatives.
  • Experience working with audits or internal controls.
  • Proficiency in Microsoft Excel, PowerPoint, and Word.
  • Prior Financial Institution Experience.

Nice-to-Have Skills
  • Control testing and audit in compliance program or wealth business units.
  • Experience in records and information management.

Soft Skills
  • Eagerness to learn and grow with the position.
  • Excellent written and verbal communication skills.
  • Excellent organizational skills and ability to work in a fast-paced environment.

Education

An undergraduate degree in a related field (Business/Finance) is required.