Compliance, TDBNA Commercial Derivatives, Trading Oversight in New York City, New York | DiversityInc Careers

Compliance, TDBNA Commercial Derivatives, Trading Oversight

Job Description

• Retrieve all compliance, financials and loan documentation from Intralinks, Syndtrak, DebtDomain, DebtX, SEC and SEDAR.

• Update Loan IQ for the receipt of compliance and financials for Corporate Accounts booked in the US.

• Input and verify compliance calculations on Compliance Tracking sheet to ensure accuracy and no default has occurred.

• Create quarterly compliance package (certificate, compliance tracking sheet, financials) and distribute to TM for review and sign-off.

• Investigate and provide any outstanding items to Credit Admin/Non-Neg Groups as per Quarterly TBO Reports distributed by Toronto.


• Run monthly Out of Order Report from Loan IQ.

• Follow-up with TMs for any outstanding items.

• Provide updated Client Master Account List to Group Head and updated Annual Review List to TDBNA Commercial Derivatives Team.

• Document all CAIROs approved via Blanket Request for Commercial Derivatives Team by month end.
Job Requirements

• Maintain ‘On-Line’ storage for legal documentation.

• Create profiles on Loan IQ for the receipt of compliance certificates and financial statements.

• Update Annual Review, Client Master Account Lists and Internal Conditions Monitoring

• Document cancellation CAIROs for Trading Oversight Team.

• Filing


• Provide information as requested by Internal and External auditors.