• Skip to primary navigation
  • Skip to main content
  • Skip to footer

1.844.822.0541

info@nexusgroup.ca

  • Email
  • Facebook
  • Instagram
  • LinkedIn
  • Twitter
  • English
    • Français
  • Consultant Login
  • Find Your Opportunity
Nexus Systems Group

Nexus Systems Group

  • Home
  • What We Do
    • Staffing Solutions Made Easy
    • Contingent Workforce Management and Payroll Solutions
    • Technology Consulting and Delivery
  • Who We Serve
  • Who We Are
    • Our Team
    • News and Awards
    • Associations and Community
  • Contact Us
  • News

Trade Surveillance Compliance Officers (UAT Testers) X2

January 27, 2020 by

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.
  • Apply Now
  • See All Jobs

Footer

ABOUT NEXUS SYSTEMS GROUP

Nexus is one of North America’s leaders in the provision of technology staff augmentation and strategic resource consulting. With a team of talented professionals using best of breed methodologies, Nexus consistently over delivers with quick, quality and trusted results to its clients and consultants.

LATEST OPPORTUNITIES

  • Business Architect – Senior June 30, 2022
  • Paid Social Media Manager June 30, 2022
  • Communications Specialist- Events June 30, 2022
  • Sr. Project Manager June 30, 2022

SOCIAL

  • Email
  • Facebook
  • Instagram
  • LinkedIn
  • Twitter
Report on Business Canada's Top Growing Companies - Nexus Group
Nexus Group Growth 500 2019
Nexus Systems Group Growth 500 2018
NEXUS GROUP SYSTEMS GROUP INC. NEXUSGROUP.CA
  • Contact Us
  • Terms & Conditions
  • Privacy Policy