Junior Compliance Analyst to ensure execution and delivery in compliance with governing regulations, internal policies and procedures- BNSJP00033650

Junior Compliance Analyst

Location Address: 40 Temperance Street 15th Floor hybrid - 2 days/week onsite this role

Contract Duration: 1 year

Story Behind the Need

Business group: Support GBM Internal Control

Project: PTMM Monitoring globally ensuring execution and delivery in compliance with governing regulations, internal policies and procedures

Responsibilities:

• Execute the first line monitoring and testing controls related to the provision of pre-trade mid-market prices/marks (“PTMM”) provided to in-scope US Persons under CFTC External Business Conduct requirements for OTC derivative products, including:

• Review the pre-execution communication, monitor PTMM provision and collect the evidence per the Bank’s requirements and identify non-compliant trades

• Follow up with other teams to obtain relevant evidence if required (e.g. Front Office, Onboarding Team, etc.)

• Update and maintain PTMM records

• Other duties and projects as may be assigned from time to time.

Must Have Skills:

1) 1-2 years experience as an Analyst (preferably in Compliance, Operations, Trading or Operational Risk)

2) Good knowledge of Capital Markets OTC derivatives.

3) Experience working with Audits or Internal Controls

4) Good working knowledge of Microsoft Excel, PowerPoint, and Word

5) Prior Financial Institution Experience

Nice-To-Have Skills:

1) Control testing and audit in compliance program or wealth business units

2)Experience in the records and information management field

Education:

•Undergraduate degree in a related field (Business/Finance)

Best vs. Average Candidate

The best candidate would have strong knowledge of Cap Markets and have experience in an analyst role.