Description du poste
Key Compliance Analyst Skills
- Five plus (5+) years of related trading, monitoring, or surveillance experience at a financial institution and/or regulated securities dealer
- Five plus (5+) years of experience in foreign exchange, fixed income, commodities and/or OTC derivatives trading markets, including knowledge of hedging and other trading strategies
- Three plus (3+) years of experience dealing with Industry Regulatory Organization of Canada (IIROC) dealer rules and UMIR, as well as a general understanding of Canadian provincial securities legislation
- Applying knowledge of front office trading activities and characteristics to the evaluation of the electronic surveillance systems alerts;
- Participating in discussions with the vender as well as the project team to ensure that the system is providing valid outputs;
- Performing ongoing UAT testing across the required products and provide commentary as to problems, issues, and potential enhancements. This will be done in a team focused environment;
- Learning how to understand and operate the surveillance system, the source systems required to adjudicate alerts and any other systems necessary to provide functional evaluations of the system being evaluated;
- Working with the team to pass along observations and tips derived from UAT testing;
- Learning what the team does and, as required, assisting when not assigned to specific UAT activities;
- Assisting the team by passing along specific market knowledge that the incumbent may bring;
- Acting independently and arrive at conclusions or recommendations based on the exercise of good judgement on moderately complex decisions falling within standard policies and escalate matters beyond existing policies;
- Interacting on an ongoing basis with senior professional staff, generally on time sensitive items; and,
- Applying regulatory requirements and policy guidance with minimal supervision, provide advice to senior professional staff in the various business units, and identify, investigate and escalate any exception conditions to management.
Eagle is an equal opportunity employer and will provide accommodations during the recruitment process upon request. We thank all applicants for their interest; however, only candidates under consideration will be contacted. Please note that your application does not signify the beginning of employment with Eagle and that employment with Eagle will only commence when placed on an assignment as a temporary employee of Eagle.