BUSINESS UNIT OVERVIEW The Global Markets Compliance Monitoring and Surveillance team ("SMS") is part of the Global Markets Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses. SMS's primary function is to manage compliance and regulatory risk through the development and oversight of controls. SMS helps identify and prioritize the compliance and regulatory risks across the Global Markets businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. The controls include preventative front-end trading system controls and processes, surveillance reports and processes, and management information systems. Post