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Years of Experience
Date Last Verified
Global Compliance - E-Communications Surveillance Analyst - Associate The candidate will be conducting lexicon-based reviews, certain deep dive reviews, and ad hoc reviews of employee e-communications. Reviewing and analyzing e-communications and related information to identify potential compliance issues relating to market conduct risks, reputational risks, or other compliance risks. Interfacing with compliance officers, legal, and other stakeholders to review and resolve potential compliance issues. Developing and enhancing surveillance review processes and procedures.
Qualification and Experience
The candidate should have Bachelor's Degree. JD degree preferred. Must have 3-5 years of Compliance, Surveillance or Risk related experience in a financial services environment. Experience with HP Supervisor Autonomy tool, Excel and SharePoint. Strong written communication, verbal communication, and presentation skills required. Excellent analytical skills and strong attention to detail. Demonstrated ability to handle multiple tasks in a fast-paced environment. Spanish and/or Portuguese language skills a plus.
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