Central Risk Team Analyst - Institutional Securities Group Management
About The Position
The the Institutional Securities Group Management team (ISGM) Central Risk Team (CRT) provides oversight of regulatory and firm requirements for supervision, Surveillance by performing in-depth assessments and implementing consistent programmatic coverage globally for Institutional Equity, Fixed Income, Investment Banking, Global Capital Markets (GCM) and Research divisions. The CRT Analyst plays a key role in monitoring trading activity and supporting compliance with regulatory requirements across equity and fixed income products. The position involves close collaboration with business stakeholders across Institutional Securities Group (ISG), as well as key control functions including Legal, Compliance, and Technology Risk. The Analyst is responsible for reviewing ISG activities to help ensure adherence to applicable laws and regulations, and compliance with the Firm’s internal policies, procedures, standards, and control framework.
Requirements
- 1-3 years’ experience in the Financial Services industry with a background in Compliance, Risk Management, Operations, Internal Audit or other relevant control functions
- Curiosity and a desire to learn new concepts, processes, products and regulations
- Strong motivation—be a self-starter with a positive outlook and desire to solve problems
- Exceptional organizational skills and a high degree of attention to detail
- Solid understanding of applicable rules and regulations
- Strong project management skills
- Excellent oral and written communication skills to clearly articulate objectives, requirements, risks and issues
- An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
- Ability to thrive in a fast-paced environment, handling multiple tasks simultaneously in a timely and effective manner
Nice To Haves
- Proficiency in data analytics and visualization tools such as Tableau is a plus
- Fixed Income and/or Equity surveillance background is a plus
- FINRA Series 7 & 24 Licenses are a plus
Responsibilities
- Manage end‑to‑end surveillance alert workflows on a daily basis, including alert review, investigation, documentation, and escalation in accordance with regulatory and internal standards
- Coordinate with Legal, Compliance, and business stakeholders to review escalations, provide context, and support timely resolution of surveillance issues
- Identifying, designing, testing, and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment
- Analyze alert trends and outcomes to support continuous improvement of surveillance controls
- Maintain accurate, audit‑ready documentation to support regulatory inquiries, internal reviews, and examinations
- Experience or familiarity with automation and data tools (e.g., workflow automation, or surveillance platforms) to drive process efficiency.
- Providing backup coverage and quality assurance overview of other team members
- Assisting with annual parameter tunning reviews
- Helping to ensure that ISG activities satisfy applicable legal, regulatory and Firm requirements
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
Number of Employees
5,001-10,000 employees
