The Risk Control Group (RCG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, information security and supplier risk programs by performing in-depth assessments and implementing consistent programmatic coverage globally for Fixed Income, Commodities, Bank Resource Management and Institutional Equity. 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. RCG members are part of the S&T Non-Market Risk structure.
The RCG team fulfills a front office advisory role as the first line of defense. The scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues. RCG employees act as a delegate for supervisors and other business owners. RCG is looking for an analyst to support projects and day-to-day tasks as applicable. Key Roles and Responsibilities
- Servicing the Sales and traders to apply the risk control framework.
- Reviewing surveillance reports/system and following escalation procedures.
- Review of system entitlements and analyzing appropriate access.
- Providing local support and oversight of outsourced processes and ensuring data accuracy for population management.
- Manage escalations on Non-Market Abuse (NMA) trade surveillance.
- Ability to build strong relationships with Business, Compliance and Technology stakeholders across the region to drive continuous improvement on Risk governance.
- Promote risk education and awareness and provide management summaries as appropriate
- Engaging with Sales and Trading contacts and other stakeholders to build awareness of RCG's continued focus on proactive and effective surveillance and supervision.