New York City, NY
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 Risk Management.
• Reviewing sales & trading exception reports on a daily basis and maintaining records relating to these reviews
• Interact with IED supervisors and, when necessary, traders and sales people with regard to supervisory issues, exceptions and to obtain necessary sign-offs
• Continually monitor the requirements of and compliance with applicable rules and regulations
• Help 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