Financial Services Client
Office Status: Hybrid
- Advising business personnel on Firm policies and regulatory matters with a particular focus on listed and over-the-counter derivatives products and services, as well as cash equities (including market making), electronic, and syndicate businesses.
- Developing and implementing policies, procedures and controls which successfully mitigate key risk factors for all covered business lines.
- Proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives.
- Conducting periodic and annual risk assessments of key regulatory themes to benchmark Global Equities’ risk profile against other regions and the enterprise.
- Assist with the development of surveillance and controls reasonably designed to detect and mitigate compliance issues.
- Assist with the resolution of issues identified from surveillance and other oversight functions (i.e., Internal Audit).
- Investigate and assist with responses to regulatory inquiries and examinations