Cor Trade Surveillance Specialist

Based in Chile, reporting to Nobramex (Latam except Brazil & Mexico) COR-Compliance and Operational Risk Manager.

The _COR Trade Surveillance_**_ _**_Specialist_ is responsible for engaging in activities to contribute to the independent compliance oversight of Line of Business “FX (Foreign Exchange) & LCT (Local Currency) Trading” performance.

As a member of COR Team, the _COR Trade Surveillance_**_ _**_Specialist_ demonstrates and applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance and operational risks. This role exercises judgment and influence and may constructively challenge FX&LCT line of business leaders to support the CRM - Compliance Risk Management Program objectives, balancing business strategy with appropriate controls.

This position will have special focus on broker dealer activities, to conduct second line of defense tasks such as: implementation of trading surveillance models and analysis of alerts, monitoring & testing and assessment of regulatory compliance. Also, big focus on MRAs (Matters Requiring Attention) by US regulators will be required to this role, this means being prepared to perform under high pressure to provide timely and effective corrective actions, mainly related to market misconduct/trading surveillance topics.

**Responsibilities**
- Conduct compliance and operational risk assessments and targeted risk assessments.
- Monitor and test the effectiveness of the FX&LCT line of business compliance and operational risk controls.
- Identify, discuss and escalate concerns, open issues and control enhancements FX&LCT line of business performance.
- Regulatory change management: tracking, researching and analyzing new laws, rules and regulations.
- Producing reports to meet Governance Routines in country, LATAM region and the US.
- Primary responsible for conducting trading surveillance related activities such as: implementation of trading surveillance tests, review/analyze escalated alerts (discuss with trading desk supervisors if required), and prepare alerts’ trending reports. Conduct regular parameter reviews for trading surveillance models used by FX&LCT business. Coordinate with EIT (Enterprise Independing Testing) and Technology development team on new surveillance and/ or test development, including preparation of test intake, test script and participation in UAT (User Acceptance Testing).

**Core skills and requirements**
- Minimum of 6 years of experience in related positions in financial industry (Banks or Broker Dealers).
- Strong oral and written communication skills.
- Fluent in English and Spanish.
- Solid awareness of risks, controls and governance.
- Knowledge on broker dealer related products (Fixed Income, FX Futures, FX Spot, FX Forwards) and applicable regulations.
- Understanding of Chile/Argentina trading platforms and flows is highly desirable (i.e. Telerenta, Datatec, Siopel, E-Trader)
- Knowledge and experience in market misconduct behaviors and its corresponding surveillance is a key aspect for selection for this role, familiarity with trading surveillance platforms such as Actimize or SMARTs is a plus.
- Ability to conduct risk analysis and similar activities within tight timeframes.
- Knowledge of Local and International capital markets.
- Ability to effectively build relationships with business partners in country and abroad.
- Competent at multi-tasking, enjoys the challenge of a fast-paced work environment.
- Strong sense of ownership and accountability for work.

**Job Band**:
H5**Shift**:
**Hours Per Week**:
40**Weekly Schedule**:
**Referral Bonus Amount**:
0