Compliance Associate, E-Communications Surveillance

• the role of Compliance Associate, the employee will be responsible for the following:

  • Perform regular e-communications review and surveillance to detect any Compliance policy breaches

  • Enhance and test e-comm surveillance program (Global Relay and Behavox experience is a plus)

  • Apply sound judgement regarding conduct and business practices by recognizing and analyzing issues to escalate to senior management

  • Assist with preparation and completion of various regulatory filings

  • Support team with annual reviews and updates to the Compliance manual

  • Assist with the administration of the Code of Ethics, including personal trade monitoring and new hire onboarding

  • Handling ad hoc projects for the Compliance team

  • Provide administrative support to the Compliance team

  QUALIFICATIONS & REQUIREMENTS:

  In order to effectively represent the Company and communicate with clients, the employee must be someone who has:   

  • Sound judgement and ability to analyze email content

  • Ability to manage multiple tasks in a fast-paced environment

  • Demonstrates high level of discretion in handling confidential information

  • Highly detail oriented and possess strong organizational skills

  • Team player who is able to collaborate across departments

  • Strong work ethic and ability to prioritize projects

  • Ability to work on tasks independently and escalate issues as they arise

  EDUCATION, TRAINING & EXPERIENCE:

  • 1-3 years of Compliance experience

  • 4 year Bachelor’s degree

  • Strong written and verbal communication skills

  • Global Relay and Behavox experience is a plus

  • Proficient Excel skills