About the Team
Serves as a Compliance Surveillance Analyst for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures.
When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline.
The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
Responsibilities
- Assisting team members with the review and analysis of surveillance alerts and/or reports relating to firm, employee and client trading activity.
- Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
- Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies.
- Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.
- Responding to inquiries or requests from internal partners (e.g. IRCM Assurance, Internal Audit, and Legal).
Qualifications
- Some knowledge of Compliance laws, rules, regulations, risks and typologies
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Some knowledge of Compliance laws, rules, regulations, risks and typologies
- Some knowledge in area of focus