Central Risk Team (Supervision), Senior Associate/Manager

Job Summary

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. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the firm, as well as adherence to internal standards, controls, and policies.

The ISG Central Risk team fulfils a front office advisory role as the first line of defense.

The scope of this role includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues.

ISGM Central Risk Team -ISG Central Risk Supervision team reviews internal policies that employees within ISG need to adhere to e.g. Employee Trading Policy, Mandatory Vacation Policy, E-Communication Surveillance policy. The team is bifurcated by region to manage stakeholder engagement and ensuring standardization of reviews across Business groups.

Responsibilities

• Reviewing internal policy breaches daily, investigate, educate and escalate as necessary
• Trend and identify repeat behaviors and establish a process to address recurrence
• 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
• Engaging with ISG contacts and other stakeholders to build awareness of Non- Financial Risk and RCG s continued focus on proactive and effective surveillance and supervision
• Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic
• Help ensure that ISG activities comply with relevant legal, regulatory and Firm requirements
• Partner with stakeholders to design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment
• Partner in projects related to improving the review process, reducing false positives or further enhance the report logic

Qualifications

• Management Graduate/ Master s in Commerce/From Finance Background
• 3-6 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues
• Ability to work independently
• Positive mindset and inquisitive to learn and perform
• Exceptional organizational skills and high degree of attention to detail
• Knowledge of Equities markets, understanding of applicable regulatory rules and regulations
• Excellent oral and written communication skills
• An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
• Proficiency in MS Office and related applications (Word, Excel, PowerPoint)

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