Testing and coding of rules in the Order Management System (OMS).
As needed, assist with compliance-related tasks involving bulk rule coding and rule testing.
Study and put into practise daily investment standards and constraints.
Responsible for spotting any unexpected or probable breach resulting from trading activity during regular business hours and reporting and/or escalating in accordance with applicable governance protocols.
Assistance in creating documentation to establish and demonstrate acceptable processes and controls to meet regulatory standards and to support reviews that have been done.
Work together with the global compliance team to evaluate, track, report, design, organise, and put into practise various compliance monitoring activities, continuing testing, and related controls.
help with managing day-to-day compliance issues including trading tactics and the use of technology-related controls that have been designed and implemented