Capital Markets Supervision


Investment Banking Client

Office Status: Remote

  • Assist with supervision activities to meet regulatory requirements and maintain service level standards and monitor and supervise adherence to Written Supervisory Procedures (WSPs) across the Equity Research and Investment Banking business
  • Review of electronic communications between research analysts and investment banking professionals with internal and external parties
  • Assist with determining the appropriate disclosures on equity research reports and supervision of public appearances by Equity Research personnel
  • Assist with the supervision of Investment Banking deal files and pitch books and the supervision of public appearances by Investment Banking personnel
  • Participate in the establishment of supervisory objectives and develop WSPs and Desktop Procedures to ensure alignment with Firm policies
  • Assist in ensuring accuracy and integrity of monthly supervisory checklists and quarterly risk assessment reports to business unit leaders to ensure there are no breaches in supervision
  • Serve as a point of contact for issues that cannot be resolved, address system supervisory and emerging business issues, escalating as required to the business unit heads and the Firm’s Compliance Department
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