E-Communications Compliance Surveillance Associate
Legal & Compliance Team
The Role : The Legal & Compliance Department protects by advising on ethical conduct, safeguarding reputation, and promoting a culture of Compliance.
Associate candidates will work within our electronic surveillance team based in the New York office. This newly formed team will help develop and conduct electronic surveillances, review alerts, and manage projects.
Duties and Responsibilities :
- Responsible for the timely analysis of electronic communication based alerts leading to the detection and prevention of market or firm damaging misconduct.
- Identify potential concerns and escalate to stakeholders; quickly highlight process deviations to the surveillance senior management.
- Contribute to design and development of conventional and Machine Learning models to enhance communication surveillance areas of concern, including but not limited to various forms of conduct risk, compliance policies, and market manipulation.
- Perform ad-hoc reviews which may consist of inbound, outbound, and internal correspondence as necessary.
- Identify, document and resolve potential regulatory / compliance issues.
Qualifications :
- Bachelor’s degree in Legal, Finance or a related field.
- The successful candidate should have 3-5+ years of surveillance and legal / compliance or similar experience, with a good understanding of financial markets, products, services and processes.
- Broker-Dealer, Investment Advisor or Banking compliance, supervision, or regulatory experience a plus.
- Ability to work with varying levels of ambiguity; ability to react creatively amid challenging circumstances.
- Ability to multi-task on several different assignments / projects; works well under pressure and meets deadlines.
- Strong communication skills, both written and verbal.
- Demonstrated high level of initiative, analytical skills, and impeccable integrity.
- Ability to exercise sound judgment and perspective.
- Excellent interpersonal skills, confidence, and poise.
- A self-starter who is both team-oriented and capable of working independently.
- Have a passion for excellence.
- Energetic and highly intelligent.
Communication Surveillance Associate
E-Communications Compliance Surveillance Associate. Associate candidates will work within our electronic surveillance team based in the New York office. Contribute to design and development of conventional and Machine Learning models to enhance communication surveillance areas of concern, including ...
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