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Chief Controls Officer TRPS - FampR

New York City, NY

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Job Description
This role sits within our Financial & Risk (“F&R”) business. On January 30, 2018, **MEMBERS ONLY**SIGN UP NOW***. announced that it signed a definitive agreement to enter into a strategic partnership with private equity funds managed by Blackstone related to the company's F&R business. As part of the transaction, **MEMBERS ONLY**SIGN UP NOW***. has agreed to sell a 55% majority stake in Financial & Risk and will retain a 45% interest in the business. **MEMBERS ONLY**SIGN UP NOW***. will maintain full ownership of its Legal, Tax & Accounting and the Reuters News businesses. The transaction is expected to close in the second half of the year and is subject to specified regulatory approvals and customary closing conditions. When the transaction closes, this role will be included in the new F&R entity. Further information on this can be found at ****The **MEMBERS ONLY**SIGN UP NOW***. Pricing Service (TRPS) Chief Controls Officer (“CCO”) has dual reporting obligations to the Head of TRPS Operations (direct reporting) and the TR Financial & Risk (“F&R”) Chief Compliance Officer (indirect reporting). In this dual capacity, the TRPS CCO is responsible for building out and maintaining a compliance and control environment for the fixed income evaluated pricing service
In addition, this role will also interact with Content & Insight Benchmark teams from an operational and compliance risk perspective.
While TRPS is currently an unregulated business of **MEMBERS ONLY**SIGN UP NOW***., the objective of this role is to promote best practices from a regulatory perspective. The TRPS CCO role will identify risks inherent in the daily TRPS operations and make recommendations to the Head of TRPS Operations and F&R Chief Compliance Officer to mitigate regulatory, operational and reputational risks.
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.
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
At **MEMBERS ONLY**SIGN UP NOW***., we believe what we do matters. We are passionate about our work, inspired by the impact it has on our business and our customers. As a team, we believe in winning as one - collaborating to reach shared goals, and developing through challenging and meaningful experiences. With more than 45,000 employees in more than 100 countries, we work flexibly across boundaries and realize innovations that help shape industries around the world. Making this happen is a dynamic, evolving process, and we count on each employee to be a catalyst in driving our performance - and their own.
As a global business, we rely on diversity of culture and thought to deliver on our goals. To ensure we can do that, we seek talented, qualified employees in all our operations around the world regardless of race, color, sex/gender, including pregnancy, gender identity and expression, national origin, religion, sexual orientation, disability, age, marital status, citizen status, veteran status, or any other protected classification under country or local law. **MEMBERS ONLY**SIGN UP NOW***. is proud to be an Equal Employment Opportunity/Affirmative Action Employer providing a drug-free workplace.
Intrigued by a challenge as large and fascinating as the world itself? Come join us.
To learn more about what we offer, please visit
More information about **MEMBERS ONLY**SIGN UP NOW***. can be found on
New York-New York-United States of America

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