Our client, an international financial services firm, is seeking an E-Surveillance Associate [AVP] to join a team build-out at their New York office. The individual will help to review electronic communications and determine whether additional action or escalation is necessary. Prior experience in the control-room is relevant for this position.
The candidate will:
- Handle cases requiring escalation and file the necessary documentation;
- Assist with the maintenance of the electronic surveillance system;
- Assist with maintenance of policies and procedures according to regulatory changes;
- Have (or obtain upon joining) Series 7 and Series 24.
Successful candidates will have a Bachelor's degree coupled with +3-5 years of compliance experience. This is an excellent opportunity to build out a comprehensive compliance tool kit within a newly created team. Must have strong attention to detail, the ability to multi-task and work independently and possess excellent communication skills.
For more information, and a discussion in confidence, please email or call Kendall Hughes at +1 646-766-1226.