AVP - Regulatory Control Group The Firm is seeking a Regulatory Control Group Analyst to monitor sales and trading activities and provide real-time support to front office personnel in a fast-paced, high-pressure environment. The Analyst will be conducting oversight of the Firm's sales and trading business with a focus on either Equities or Fixed Income products.
Manage compliance with applicable sales and trading regulations and monitor adequacy of supervisory controls.Create, modify and review surveillance reports related to front office activities
Conduct delegated supervisory tasks and follow up as necessary with line-of-business supervisors and Compliance.
Consult with supervisors and management to improve current supervisory processes.
Work closely with other supporting functions to ensure written policies and procedures are up-to-date.
Assist in researching and responding to regulatory inquiries and exams
Conduct electronic communications reviews.
Desired Skills and Experience
Bachelor's degree in an area such as finance, economics or business
2-4 years experience in a compliance, supervisory, surveillance or other regulatory capacity within the financial services industry
Strong interpersonal, verbal and written communication skills
Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines in a fast paced environment.
Fast learner with a proactive and team first mindset
Willingness to pass required regulatory exams (7, 24)
Ability to work professionally and confidentially