Trading Operations Associate

This role will support the Head of Trading or other trading supervisory principal, with respect to ensuring that the organization’s trading operations comply with relevant laws and regulations.

RESPONSIBILITIES/MAIN FUNCTIONS

• Support written procedures designed to monitor, audit and measure the effectiveness and quality of trade reporting to applicable regulatory authorities.
• Review reports / blotters to ensure that trades are being affected and reported in accordance with applicable regulatory authorities.
• Support regulatory, audit and other inquiries to verify accuracy and completeness of transactional reporting.
• Document processes and support development of operating procedures. Preserve records and proper documentation.
• Participate in monthly meetings with business unit management (Compliance, Risk, Legal, Head of Trading) to proactively identify emerging business issues and discuss related or new regulatory requirements.
• Stay abreast of changes in laws and regulations and communicate updates to relevant stakeholders. Monitors and provides updates on regulatory changes and supports implementation of new / amended regulatory requirements.
• Escalates regulatory concerns and other significant matters to the head of trading and ongoing support as necessary for matters requiring escalation.
• Frequently assist in the review of policies, processes and procedures.
• Communicate with members of the trading staff during the audit process.
• Advises on the maintenance of internal policies and procedures with focus on current compliance framework as reference point.
• Fixed Income trading knowledge and experience within compliance a plus. Should be able to demonstrate the ability to understand the regulatory authority, experience in the venues traded, and can be delegated responsibilities to do so.
• Collaborates closely with Compliance team and other supports units to help create and maintain best practice across the Firm. Plays a key role in the Compliance risk assessment exercise.

REQUIREMENTS (EDUCATION, EXPERIENCE, KNOWLEDGE, SKILLS AND CAPABILITIES)

• Bachelor’s degree in Business Administration or related field preferred.
• Minimum of two (2) years of industry-related experience.
• Must have exceptional attention to detail.
• Must be a self-starter and driven.
• Strong organizational and time management skills; ability to prioritize.
• Excellent communication and interpersonal skills.
• Strong problem-solving skills and analytical abilities.
• Ability to work under pressure and time bound projects.
• Knowledge in the operation of laptops/desktops and Microsoft platforms/software (Word, Excel, PowerPoint, and Outlook).