The TDS US Compliance team is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team.
Requirements
- Preferred 3-5 years of experience in trade surveillance of Fixed Income Products, with relevant knowledge of trade lifecycle and capital markets business.
- Gain an understanding of new trade surveillance modules and surveillance tools
- Keep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniques
Responsibilities
- Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
- Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
- Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk activities as necessary
- Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
- Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exist
- Acquire and apply expertise in the discipline, provide guidance and direction to others
- Identify, recommend and effectively execute standard practices applicable to the discipline
Other
- Adhere to internal policies/procedures and applicable regulatory guidelines
- Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
- Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
- Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations
- Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations
