• Assist Control Room with daily monitoring of email inbox, deal entry, conflicts checks, wall cross/MNPI requests, and communication with deal teams. • Monitor statuses of deals in IB & Capital Markets pipeline; maintain accurate statuses in control room module and reconcile control room information with pipeline report from deal team. • Be a member of special projects teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc. • Help develop supervisory tools related to business activity such as compliance violations logs. • Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary. • Support IB deal team with Reg M filings. • Manage IB/Capital Markets pipeline reports and act as a liaison for status of private side deals. • Act as the primary touch point for market manipulation surveillance scenario reviews and create documentation. • Assist with Fixed Income and Equity project work including development of policies & controls, documentation requirements, and metric creation. • Provide support to Equity trading desk; act as main point of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counterparties to resolve issues. • Ensure supervisory program and related controls are in place (training new hires, proper completion of checklists, and adherence to written policies and controls). • Interpret new Rules and assist BL team with understanding business application.