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Years of Experience
Date Last Verified
ProfileE-Communications Surveillance for Compliance Controls Responsibilities: Will involve working with relevant compliance, legal, technology, and business partners to establish priorities and identify solutions. Review and evaluate e-comm messages generated by the e-comm surveillance system and reviewed by the Supervisors, as part of the Quality Control Review process. Periodic review of e-comm messages for any irregularities or discrepancies as an element of the Random Sampling process. Regularly advise Coverage Compliance regarding wide range of e-communications matters, including but not limited to: IT support for firm’s supervisory system, analysis of relevant firm policies and financial regulations, closing out pending e-communications. Liaise with IT Support, Coverage Compliance, and other business groups to handle internal changes regarding surveillance software and systems; Liaise with front office supervisors regarding escalated e-communications. Close collaboration with key functions to ensure that compliance programs, policies and procedures meet current regulatory and legal requirements; Conducting gap analyses as and when required, associated to e-communications policies. Contribute to development of voice surveillance program around swaps trading activity for Dodd-Frank; Complete ad-hoc surveillance requests for different business groups; Track metrics of advisory and monitoring activities and develop into comprehensive Management Information. Lead meetings with compliance officers from various business groups; Assist in monitoring compliance with applicable regulatory requirements relating to electronic communications and social media; Lead meetings with compliance officers from various business groups; Assist in monitoring compliance with applicable regulatory requirements relating to electronic communications and social media. Assist in developing and implementing controls, drafting policies and trainings relating to e-communications and social media compliance. Assist in publication of Global and CS-Amer Policies correlated to e-communications. Undertake similar or related tasks or duties, as directed by management and actively participate and adhere to deadlines. Develop professional knowledge of regulations promulgated by various financial regulatory agencies, regulatory changes and firm policies related to e-communications; Respond to inquiries from related agencies such as FINRA and SEC. Participate in industry forums to learn, share and develop one’s understanding of the social media regulatory and compliance environment with peer organizations.
Qualification and Experience
Qualifications: A college degree - required; business degree and/or JD Degree preferred. Compliance or legal experience in investment banking or banking is highly desirable; alternatively, relevant experience in other regulated industries is desired. Familiarity with regulatory bodies (FINRA, SEC) and with current financial regulations; secure with interpreting financial regulations and applying these regulations and policies to daily activities. Familiar and comfortable with information technology generally; you are able to quickly learn new surveillance software as well as back-end analysis of this software. Ability to read quickly for context and subtext of e-communications; have knowledge and ease with social media - desirable; general ability to evaluate business usage of file sharing and social media sites. Detail oriented, with solid analytical and problem solving skills; Presentation skills – formal and informal to differing audiences; have the capability to understand the details but also able to take a big picture approach. Proficient communications skills, especially with regard to communicating with a broad range of technical and non-technical staff; Solid written and verbal communication skills – ability to communicate succinctly and effectively with senior management across diverse lines of business. Proficient with MS Office, particularly Excel and Powerpoint. Good language skills, fluency in English & Spanish, with Portuguese being a plus.
Job ID: 097190