Associate, Fixed Income Trade Surveillance

Join the trade surveillance function of a top global banking organization within their broker dealer arm.

Client Details

Client is a top canadian banking organization.

Description

• Handle all correspondence and confidential information with discretion; escalate issues when necessary

• Stay informed of best practices and procedures within the functional area and monitor emerging trends

• Protect organizational interests by identifying, managing, and escalating high-risk or non-standard activities

• Perform functional or enterprise-level reporting and analysis to draw conclusions, make recommendations, and assess policy/program effectiveness

• Monitor service and productivity metrics; drive process and performance improvements as needed

• Apply subject-matter expertise to provide guidance and direction to others

• Implement and execute standard practices relevant to the discipline

• Follow internal policies, procedures, and applicable regulatory requirements

• Stay up to date on evolving regulatory requirements, industry trends, and assess their impacts

• Promote a culture of risk management and control aligned with the organization's risk appetite

• Understand key stakeholders, including front office teams and support functions like Technology and Operations

• Develop strong working relationships with the Compliance Advisory team to manage regulatory requests and alerts

• Coordinate requests and track/report initiatives from Compliance and business partners

• Prepare and deliver summaries, reports, communications, and presentations for management, regulators, and internal/external stakeholders

• Identify issues needing escalation or further review and coordinate with appropriate personnel for resolution

• Actively contribute to a positive team culture focused on quality, innovation, and collaboration

• Build relationships across Global Surveillance and broader Compliance teams

• Provide coverage for cross-trained surveillance modules

Profile

Bachelors degree or progressive work experience

5-7 Years of related experience

Job Offer

Candidate has the chance to join one of the few banking organization actively growing out their compliance functions.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.