Typical Day in Role:
• 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 client'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.

Candidate Requirements/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

Soft Skills Required:
1) Eagerness to learn and grow with the position
2) Excellent written and verbal communication skills required to prepare communications and interact effectively with stakeholders
3) Excellent organizational skills and ability to work in a fast-paced environment

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