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IED - Regulatory Control Group - Associate
The position available is a Professional level position within the Institutional Equity Risk Management team, specifically within the Regulatory Control Group (RCG). RCG is responsible for the overall supervisory program and information security platform for the Institutional Equity Division (IED). The individual will be required to work with senior members of the business and associated control functions, including Legal, Compliance and Technology Risk. The individual will be responsible for reviewing IED sales and trading desk activities to help ensure compliance with applicable rules and regulations governing the Firm's activities, as well as adherence to internal policies, procedures, standards and controls. Responsibilities include: â?¢ Interacting with IED sup
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