CTG's Macro & Credit Sales and Trading Forensic Testing Team has a global reach and is comprised of seasoned individuals with varying backgrounds and experience (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, Salt Lake City, London, Tokyo, Singapore, and Hong Kong.
The team works with stakeholders in Compliance and business management to obtain consensus and implement corrective actions focused on the following key risks: market manipulation, collusion and front-running.
Summary: The principal objective of the Compliance Testing Group is to create and execute detailed compliance reviews testing to assess compliance with regulations and firm policies. The individual will work closely with Compliance and business management, and gain an excellent understanding of both the firm's businesses and the rules and regulations under which the firm operates.
Responsibilities: Propose methods of testing and execute plans discussed and agreed with a team leader Gather data, perform analyses, and document results Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals Multi-task – have the ability to work on several different reviews with different individuals at the same time Leverage strong communication skills to interact with Compliance and business senior management Team with colleagues around the globe to share findings and refine processes Meet tight deadlines
Basic Qualifications Bachelor's Degree Knowledge of financial products, markets, and regulatory policies Knowledge of the securities business and sales practices Excellent interview, presentation, and written communication skills Integrity, motivation, intellectual curiosity, and enthusiasm Excellent time management and analytical skills Knowledge of Microsoft Word and Excel is a must, and knowledge of Access and PowerPoint is useful
Preferred Qualifications Deep understanding of the products offered by the Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks Auditing, testing, regulatory/law enforcement or trading experience Experience in the financial services industry, either working for another broker dealer, law firm, big 4 firm or regulator Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications would be useful) Understanding of information technology systems and standard system implementation methodologies a plus Fluency in English language, both orally and in writing Fluency in French, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus Understanding of accounting