Are you detail oriented even when multitasking? Are you interested in trading products as well as regulatory requirements? Are you inquisitive with analytical and risk-aware mind-set? We are looking for someone like that to help us:

• conduct and document monitoring reviews to assess compliance with regulations applicable to Global Markets
• ensure completeness, accuracy and timeliness requirements around regulatory reporting for U.S. equity securities are met by performing monitoring and control activities
• highlighting exceptions identified through the review of various control reports and participating in the resolution of any identified issues.
• assisting in the review of day to day control processes for U.S. trade and transaction reporting obligations such as CAT, OATS, TRF (i.e. ACT), 605/606, TRACE, and LOPR
• support staff in researching and responding to regulatory requests
• help develop and/or modify surveillance and other control reports related to the Global Markets Equities business
• assist in the investigation and response to regulatory inquiries and exams