5 jobs for "Regulatory and Compliance - Associate"

A & R Accountant - PRTP

Posted on Oct 20

At TD Bank - New York

Posted on Nov 6

Posted on Oct 3

Posted on Sep 24

At TD Bank - Toronto

Posted on Oct 6

Thailand · ThailandFinancePosted 19 days ago

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Job Purpose and Impact

The Associate Professional, Financial Services Operations job supports the optimization and implementation of standard financial operations and financial services activities while ensuring compliance with all regulations and internal control standards. Under close supervision, this job collaborates with internal and external business partners on day-to-day business operations and partners to drive continuous improvement.

Key Accountabilities

OPERATIONS & COMPLIANCE: Performs routine operational activities including trade matching, reconciliations, position management and life cycle events, ensuring compliance with regulatory requirements and internal control standards.
CUSTOMER SUPPORT: Supports the communication and liaison with traders, functions, external business partners and other internal and external counterparties to handle operational tasks.
SYSTEMS & PROCESSES: Monitors and runs system processes including the end of market and end of day processes for exchanges, report and extract generation, system feeds, reference and static data, error analysis and remediation action.
DATA MANAGEMENT: Prepares routine financials, metrics and reports following well defined procedures.
CONTINUOUS IMPROVEMENT: Suggests improvements or new developments to mitigate risks, reduce costs and improve efficiency.

Qualifications

No minimum years of relevant experience required. Typically reflects 2 years or more of relevant experience.

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