E-Surveillance Associate - Investment Bank - New York

Job Title: E-Surveillance Associate - Investment Bank - New York
Contract Type: Permanent
Location: New York, USA
Salary: US$95000.00 - US$125000.00 per year + Bonus
Reference: BBBH17927_1520519204
Contact Name: Kendall Hughes
Contact Email:
Job Published: March 08, 2018 14:26

Job Description

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.