Central Risk Team (Supervision), Senior Associate/Manager, Institutional Securities Group

About the role

The Central Risk team within Institutional Securities Group (ISG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, and information security by performing in-depth assessments and implementing consistent programmatic coverage globally for Institutional Equities, Fixed Income, Global Capital Markets, Investment Banking and Research.

What you'll do

• Reviewing internal policy breaches daily, investigate, educate and escalate as necessary
• Reviewing electronic communications and escalating where these are not in line with internal policies
• Create management reports to highlight issues, trends, new regulatory changes etc
• Support BU projects to create, enhance or develop procedures/protocols
• Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes

What you need

• 3–6 yrs of experience
• Capital markets
• Investment banking
• Excel
• Compliance
• Risk management
• Audit
• B.Com or MBA or M.Com

Good to have

• PowerPoint