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Compliance Surveillance Associate

Selby Jennings Buyside
Manhattan, United States
Posted 5 days ago Hybrid Permanent Negotiable
In 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 * Handing ad hoc projects for the Compliance team * Provide administrative support to the Compliance team

Qualifications & Requirements:

  • Sound judgement and ability to analyze email content
  • Ability to manage multiple tasks in a fast-paced environment
  • 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
job_description_image
Job ID  PR/376525
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