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.