US Analyst - Surveillance & Monitoring Compliance
Job description
Business type
Types of Jobs - Compliance / Financial Security
Job title
US Analyst - Surveillance & Monitoring Compliance
Contract type
Fixed-Term Contract
Term (in months)
24
Management position
No
Job summary
Summary:
The position's responsibilities include the following: review and disposition e-communication alerts as well as alerts related to data loss, performing controls related to broker dealer and swap dealer activities, executing special projects for global and local initiatives, documenting, and delivering global policies, procedures, and training. He/she is expected to be able to work in a team environment, whilst simultaneously managing his/her own individual workload.
Key Responsibilities:
• Review daily e-communication alerts to ensure compliance with Bank policies and Regulatory Requirements.
• Assist in executing global projects that impact front to bank functions to address compliance with SEC, FINRA, CFTC and NFA regulatory requirements.
• Assist reviewing and dispositioning alerts related to data loss protection.
• Assist in developing training and education to make employees aware of their compliance and regulatory responsibilities.
• Assist the team with any remediation projects in regards to processes or controls, resulted from either regulatory reviews or internal audits.
Management and Reporting:
The position reports to the Head of Surveillance & Monitoring in Americas
Key Internal Contacts:
The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Financial Security, and IT support.
Key External Contacts:
The employee will most likely interact on a regular basis with Front Office, Head Office Compliance, Middle Office, Back Office and IT support personnel.
Position location
Geographical area
America, United States Of America
City
NEW YORK
Candidate criteria
Minimal education level
Bachelor Degree / BSc Degree or equivalent
Academic qualification / Speciality
• Recent college graduate
• Candidate is eligible to work in the US
• Candidate will not require Visa sponsorship now or in the future (including F1, OPT, CPT, etc.)
• Knowledge of Microsoft applications
• Familiarity with finance and banking products
• Knowledge of International and US AML and OFAC regulations
• IT Knowledge of Payment systems
• IT Knowledge of AML tools
Salary: 80,000
LI-DNI
Level of minimal experience
0-2 years
Languages
English
