Equities Business Risk and Control - C13 VP

Equities Supervisory Risk and Control position supports a trading and sales environment in relation to US Regulatory Rules as defined by FINRA and the SEC. The position is for a highly energized, dynamic professional who is ready to join a fast-paced, world leader in the financial services industry. The successful candidate will work with Equities Business Management, Middle Office, Operations, Technology, Compliance, Internal Audit, Financial Control and Legal Departments. The position will report to the Director responsible for the team.

**Responsibilities:**

+ Responsible for operating, developing, enhancing, and innovating Regulatory controls and processes to ensure thorough Supervision of Trading Activities in Equities 1LoD.
+ Understand and support key Regulatory policy and control initiatives. Perform daily regulatory reporting processes as required to be in compliance with internal or regulatory initiatives.
+ Identify best practices, key control/governa...