Responsibilities of the Candidate:

Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
Identify, document, and resolve potential regulatory/compliance issues
Partner with coverage area and generate and review monthly reporting summaries on issues identified
Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
Create and test new surveillances; create efficiencies with existing surveillances
Design, testing, and maintenance of E-Communication surveillance (with particular focus on voice-based surveillances)
Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms
Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications

Requirements:

Bachelor's degree
Minimum 1-4 years of experience, preferably in the financial services industry
Subject Matter Expertise and practical experience in building out or managing e-communication surveillances
Basic understanding about financial market regulations and Compliance is desirable
Additional language skills preferred
Attention to detail and strong follow-up skills
Excellent oral and written communication skills
Strong interpersonal skills
Excellent problem-solving skills with the ability to exercise sound and balanced judgment
Ability to handle multiple tasks simultaneously and work under pressure
Prior document and/or e-discovery review experience a plus
Ability to juggle competing priorities and stakeholder concerns
Ability to quickly grasp complex concepts, including global business and regulatory matters
Professional maturity and confidence in expressing a point of view with senior management