Treasury Associate

Seeking an Analyst/Associate to join our Global Treasury Group. The candidate will help drive strategic initiatives around the Prime Brokerage platform. The Analyst/Associate will be a part of the Global Treasury Group interacting frequently with the Prime Brokerage financing desks and CFO.

 

Responsibilities:

• Oversee and execute new strategies to improve PB platform’s treasury processes and controls

• Provide the PB business unit with Network Management support including the negotiation of legal documentation, centralized cash management system implementation, and operational assignments/setup

• Support liquidity metrics production and management, rating agency capital metrics analysis, secured financing, free cash investments, and transfers

• Produce and distribute intraday funding snapshots and end of day cash and collateral reporting

• Support 15c3-3 deposit requirements

• Monitor and manage the firms Contingency Funding Plan, coordinating with key stakeholders

• Participate in ad-hoc projects, performing research and analysis

• Assist in the development of department policies, procedures, and operational controls

 

Qualifications:

• 1-2+ years of related experience in Corporate Treasury within Capital Markets space

• Understanding of Prime Brokerage business model in addition to repo and stock loan

• Advanced analytical and Excel capabilities, project management skills, and ability to multitask

• Self-starter with drive to improve the status quo

• Critical thinking, attention to detail, communication skills, business writing, creative problem solving and project management skills are critical to this position

• Ability to work both independently and part of a team

• Commitment to meet quality and ability to manage tight deadlinesdities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm.

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within the company and ensuring that all employees understand their responsibilities.

Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between the company and regulatory bodies.

 

The Role:

  • Provide E-communications, Voice, and Trade Surveillance review services to US Broker-Dealer (BD) and FCM (futures commission merchant) business lines.

    • Review alerts with due consideration in a timely fashion, maintaining queues within guidelines.

      • Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning.

      • Seek additional clarifying information from Clients/Traders as appropriate.

      • Escalate potential true positives to management with proper documentation, including rationale.

        • Notify Employee’s Supervisor or Client of confirmed True Positive.

    • Follow up on open issues as needed.

  • Produce metrics on Surveillance reviews to the Head of US Surveillance.

    • Clearly delineated by date, business line, desk, alert type, client, and trader.

  • Participate in ongoing improvement of the Surveillance function

    • Testing of trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools.

    • Documented UAT Review of new scenarios.

    • Documented UAT Review of new scenarios.

    • Actively suggesting potential enhancements that would:

      • Increase discovery of True Positives.

      • Reclassify False Negatives to True Positives.

      • Reduce the quantity of False Positives without decreasing True Positives.

  • Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response.

  •  Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious processes.

  • Maintain and grow industry knowledge by actively following relevant news events and regulator action.

  • Other Surveillance services as assigned.

  • Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.

  • Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.

  • Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.

  • At all times complying with the Code of Conduct.

    •  To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.

    • To report any breaches of policy to Compliance and/ or your supervisor as required.

    • To escalate risk events immediately.

    • To provide input to risk management processes, as required.

The Company may require you to carry out other duties from time to time.

Competencies, Skills and Experience:

Competencies

  • Demonstrable curiosity.

  • Resilience in a challenging, fast-paced environment.

  • Ability to communicate across geography, business function, corporate level, and experience set.

  • Unimpeachable character with integrity that guides all decisions.

  • Excellence in building relationships, networking and influencing others.

  • Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion.

  • A collaborative team player, approachable, self-efficient and influences a positive work environment.

  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Skills and Experience

  • Bachelor’s Degree in Finance, Economics, Business, or other related field

  • Excellent understanding of financial markets.

  • Data analysis and interpretation skills.

  • Proficiency in Microsoft Office products (Word, Excel, Outlook, etc)

  • Organizational and time-management skills

  •  Excellent verbal and written communication skills

  • Existing Surveillance experience in a financial markets context

  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

 

 

 

 

 

 

How to Apply: