Compliance & Operational Risk Specialist - Trade Surveillance

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This job is responsible for assisting the FX (Foreign Currency) Compliance and Operational Risk officer team to execute second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.

Responsibilities:

• Assists in assessing risks, associated controls and their effectiveness, while driving compliance with applicable laws, rules, and regulations, adhering to policies, and developing reporting and documentation
• Engages in activities to provide support to the FX (Foreign Currency) Compliance and Operational Risk teams in order to provide independent compliance and operational risk oversight of Front Line Unit or Control Function performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
• Assists in identifying and escalating problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses
• Assists in the development of independent risk management reporting for respective area(s) of coverage as input into management routines
• Assists in responding to regulatory inquiries and other audits and examinations
• Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory

Skills:

• Surveillance
• FX Product knowledge
• Understanding of Trade Flow
• Process Management
• Regulatory Compliance
• Reporting
• Risk Management
• Attention to Detail
• Critical Thinking
• Interpret Relevant Laws, Rules, and Regulations
• Issue Management
• Policies, Procedures, and Guidelines Management
• Active Listening
• Advisory
• Business Process Analysis
• Written Communications

Required Qualifications:

• 5 years minimum of FX (Foreign Currency) product knowledge or trade flows
• Bachelor’s Degree or equivalent experience

Shift:

1st shift (United States of America)

Hours Per Week:

40