Tell a Friend

Success Stories

From my very first contact with Recruit Arrow, through the application process, interviews, and my acceptance of the position, this service was an invaluable asset. My recruiter gave me insight into the company by sharing her own experiences and views.

READ MORE

Related Category Jobs:

JOB CENTER

Your Window to a World of Opportunities

Chief Controls Officer
Location : New York, New York City
Refer job # NKBE341082

Job Responsibilities and Requirements: Key Responsibilities/Accountabilities: TRPS Operations: Manages all aspects (e.g., evidence gathering, report writing, engagement management) annual TRPS SOC 1 Type 2 controls engagement working in collaboration with TRPS Manager of Operations (Eric Wong) Chairs the monthly TRPS Fair Value Committee Meetings and responsible for compiling agenda items and providing meeting minutes Participates in TRPS customer due diligence meetings as requested by TRPS Pricing Service Specialists Reviews all customer due diligence questionnaires prior to submission Responds to (answers) all subpoenas for pricing information in coordination with Financial & Risk Legal Department Reviews and updates TRPS Management with current accounting and regulatory initiatives (e.g., IFRS 13/Topic 820, MiFid II, SEC Money Market Reform, AIFMD, European Benchmark Regulations, etc.) Reviews all outbound customer statements (e.g., market updates, delivery notices, methodology updates, etc.) Manages and directs Quality Control team initiatives among asset classes and customer service initiatives Consults with Global Heads of Asset Classes (Gov/Corp, Securitized Assets, Derivatives) on fair value matters including price challenges, price suspensions, price corrections, etc.) Review legal aspects related to vendor contracts for compliance and obligation requirements (e.g., usage, sourcing, attribution, etc.) F&R Compliance Oversight: Develop and maintain TRPS compliance training program. Develop, maintain, and update TRPS Policies and Procedures manual related to fair value and operational matters. Participate in monthly F&R Compliance Update Meetings for purposes of applying regulatory and compliance best practices from other F&R business units as well as current industry trends. Advise/Consult on compliance matters including IOSCO Submitters Code of Conduct related to pricing vendors and benchmarks (e.g., European Benchmark Regulations) Advise/Consult (on behalf of F&R Compliance) on TRPS customer escalation items related to controls, compliance or regulatory matters (i.e., customer complaints). Advise/Consult on TRPS compliance matters including record retention, evaluator conflicts of interest, confidentiality, Non Disclosure Agreements ( NDAs ), etc. Requirements: 5-10 years previous work experience (preferably at broker/dealers, pricing and data vendors, custodians, asset managers, independent price verification teams, public accounting firms) Bachelors Degree required (in Accounting, Finance, or Economics preferred); Advanced degree (e.g., MBA, Masters, Law) and certification desirable but not mandatory (e.g., Certified Public Accountant, Chartered Accountant, Certified Internal Auditor, Attorney etc.) Experience working with various fixed income products (Governments, Corporates, Municipals, Securitizations, Derivatives, etc.) Subject matter expert related to regulatory and compliance matters impacting global fixed income valuations Excellent verbal and written communication Ability to give presentations at all levels Attention to Detail Excellent planning and organization abilities Excellent time management and delivery skills Able to analyze and provide solutions Able to communicate and interact effectively at all levels Able to work independently and as part of a team Excellent interpersonal skills Business and commercial awareness.



[Apply Now] [Email to a Colleague] This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity.Assisting you is our highest priority. Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.

Newsletter and Job Updates