Equity and Fixed Income Research Compliance Coverage
Research Compliance provides timely advice to the business unit and monitors business activities for adherence to both Firm and regulatory requirements. The team monitors new rules and regulations and industry standards and maintains written policies and procedures. We devise an annual compliance program and conduct and coordinate monitoring, testing, and training for the business unit. The Compliance Coverage Professional will support Americas Research Compliance professionals and other first line control functions, including Business Unit Risk Management. The role will focus on providing compliance advice to the Equity and Fixed Income Research. This role will require some dedicated time physically located with the business unit. Primary Responsibilities
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