New York City, NY

Job Type
Contract Full-Time

Pay Rate

Business Analyst II Level 2

Duration: 7 months

Pay Rate: $25.93

Work Location: 1585 Broadway, New York, New York 10036


Job Description

The Regulatory Control Group (RCG) works within the Firm’s Institutional Securities Group (ISG) and is responsible for the overall supervisory program and information security platform in the Institutional Equity Division (IED). RCG analysts are responsible for reviewing IED sales and trading desk activities to ensure compliance with applicable rules and regulations governing the Firm, as well as adherence to internal standards, controls and policies. RCG members sit on the IED trading floor and the group reports into IED Business Unit Risk Management.

Responsibilities Include:

• Reviewing sales & trading exception reports on a daily basis and maintaining records relating to these reviews
• Interacting with IED supervisors and, when necessary, traders and sales people with regard to supervisory issues, exceptions and to obtain necessary sign-offs
• Continually monitoring the requirements of and compliance with applicable rules and regulations
• Helping to monitor and make suggestions regarding IED’s overall supervisory program and help ensure that IED activities satisfy all pertinent legal, regulatory and Firm requirements
• Review and make suggestions regarding RCG policies and procedures
• Assist with application approvals and reviews of various applications owned and accessed by IED sales and trading desks

Required Skills

• 2-5 years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues
• Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)
• Background/experience in and/or interest in business, finance and IED products
• Ability to handle multiple tasks in a timely and effective manner and thrive in a fast-paced environment that lends itself to changing priorities and quick turnaround
• Strong analytical skills with an ability to understand complex workflows
• Exceptional organizational skills and a high degree of attention to detail
• Proven ability to take ideas forward and to challenge others with integrity and maturity
• Strong project management skills
• Excellent and concise oral and written communication skills across various levels of seniority in an organization demonstrated by clearly articulating objectives, requirements, risks and issues
• An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related

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