UAT Testers

Our large banking client in looking for UAT Tester who contributes to the overall success of the Trade Surveillance Department ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. The Compliance Officer (“CO”) is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with regulatory requirements (in particular those established by securities regulations and Self Regulatory Organizations as well as internal policies and procedures.

Accountabilities

Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

Conduct near real-time and post-trade market related surveillance to address alerts (analyze and address alerts using the SMARTS and other surveillance applications); identify and investigate any potential exchange / marketplace and regulatory rule violations by clients and/or traders.

Perform ongoing audit trail reviews

Assist in responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts

Assist in conducting effectiveness testing of supervision related processes and controls

Assist in the development and enhancement of procedures and processes of the surveillance program

Assist other team members and provide back-up support within the team and other projects as assigned

Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.

Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.