Our client, a leading investment bank, is looking to hire an Electronic Surveillance Associate to assist with the firm's Surveillance and Testing team in New York. You will play a key role in reviewing the firm's Electronic communication flagged by the surveillance system as well as work on marketing review work. This is a newly created group which will sit within the Front Office Risk and Controls Group.
The ideal profile will:
- Have around 5 years of experience in E-Surveillance/Control Room compliance;
- Review selected electronic communications which may be in violation of company policy & regulatory requirements;
- Effectively communicate compliance concerns identified through the review of electronic communications
- Assist in ongoing monitoring of approved social media profiles to ensure compliance with company policy & regulatory requirements;
- Assist with Advertising and Marketing review;
- Assist with regulatory exams and inquiries, regulatory changes and maintain working knowledge of current FINRA, SEC and state regulatory issues as well as the firm's compliance policies and written supervisory procedures;
- Series 7 and 24 preferred.
You will need to possess excellent organizational, written & communication skills as well as have the ability to handle confidential and sensitive information. Compensation is competitive and commensurate with industry experience.
To learn more about this opportunity and others like it please email or call Ben Ellison on +1 646-766-1212.