Associate _Supervision_ISG Management

Reviewing internal policy breaches on a daily basis, investigate, educate and escalate as necessary Trend and identify repeat behaviours and establish a process to address recurrence Reviewing electronic communications and escalating where these are not in line with internal policies Create management reports to highlight issues, trends, new regulatory changes etc. Support BU projects to create, enhance or develop procedures/protocols. Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes Engaging with ISG contacts and other stakeholders to build awareness of Non- Financial Risk and RCG's continued focus on proactive and effective surveillance and supervision Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic Help ensure that ISG activities comply with relevant legal, regulatory and Firm requirements Partner with stakeholders to design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment Partner in projects related to improving the review process, reduce false positives or further enhance the report logic Graduate/ Post Graduate in Commerce, Finance etc. 1-3 years with knowledge/ background in Compliance, Risk Management, Trade surveillance or Trading Support focusing on sales and trading issues Ability to work independently Exceptional organizational skills and high degree of attention to detail Knowledge of Equities markets, understanding of applicable regulatory rules and regulations Excellent oral and written communication skills An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues Proficiency in MS Office and related applications (Word, Excel, PowerPoint) Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.