Central Risk Team (Supervision), Senior Associate/Manager, Institutional Securities Group
Core
Oversees regulatory and firm requirements for supervision, surveillance, entitlements, and information security for Institutional Securities Group, ensuring front-office compliance with rules and internal standards.
Role type
Senior Associate/Manager, Risk Supervision
Builds
Management reports, surveillance processes, and control protocols for Institutional Equities, Fixed Income, Global Capital Markets, Investment Banking, and Research.
Domain
Financial Services / Risk Management & Compliance
Deliverable
dashboards & analysis
Required skills
Compliance, Risk Management, Trade surveillance, Equities markets knowledge, Regulatory rules knowledge, Control environment mechanics, MS Office proficiency
Preferred skills
Management Graduate or Master's in Commerce/Finance, 3-6 years experience in Compliance/Risk/Trading Support, Independent work ability, Strong attention to detail
Responsibilities
Review internal policy breaches daily, investigate, educate, and escalate; Trend and identify repeat behaviors; Review electronic communications for policy alignment; Create management reports; Support BU projects to develop procedures; Engage with regional teams for automation; Drive discussions to validate review processes; Ensure ISG activities comply with legal/regulatory requirements; Partner to design new reports; Partner to improve review process and reduce false positives.
