Sr Analyst Governance and Controls

Purpose
The Senior Analyst, GBM Internal Control Governance & Controls executes upon key controls and processes that contribute to GBM Internal Control's ability to effectively monitor for, and manage, a variety of risks. The position will require a great deal of collaboration with global stakeholders and colleagues both across Internal Control and the business lines.
Accountabilities
Execute upon a number of periodic (daily / weekly / monthly / annual) controls and processes that have both regional and global reach and applicability
Provide supervisory support and conduct an initial review of the applicability and compliance monitoring of SEC Regulation SHO and FINRA Rule 3110 for CFTS/SEC/FINRA associated persons eligible for remote work, as well as, offering support for other regulatory-related controls and processes as required.
Escalate effectively to Associate, Governance & Controls, GBM Internal Control in the instance that controls/processes cannot be executed on...