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Americas Senior Equities Risk & Control Officer (Director / SVP)
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- Equities business lines include Cash Equities, Equity Derivatives, Delta 1, Prime Finance and Sales/Sales Trading.
- Reporting to the Head of Equities Risk & Controls, the role will focus on leading and strengthening the Americas Equities Supervisory controls framework as well as ensuring consistency with firm-wide standards and regulatory expectations with Prudential Bank Regulations.
- The role will interact extensively with senior management across the Global Equities business, central Markets teams, Independent Compliance Risk Management, Internal Audit, Bank Regulatory Legal and participate in updates to Senior Management.
- Manage controls and supervision framework in Equities, including but not limited to Reg NMS, Reg SHO, Reg ATS, Best Execution, Consolidated Audit Trail (CAT)
- Provide expertise for regulatory remediation and implementation across Equities business, with a focus on Prudential Bank Regulations (K, O, W)
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