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Associate/VP, E-Communications

New York, New York

Job Description:

The candidate will join the Global Markets (GM) Communications Review Group.  The GM Communications Review Group is responsible for surveillance of communications to identify potential conduct issues, including but not limited to market misconduct, misuse use of confidential information, conflicts of interest, and violations of Company policies, standards and procedures. 

The candidate’s responsibilities would include:

  •          Engage in the supervision of regulated activities through the timely review of electronic and/or voice communications to detect potential violations of applicable laws, regulations or internal policies in support of the line of business supervision responsibilities
  •          Responsible for the lifecycle of communication surveillance escalations including identifying what merits escalation, and the coordination and documentation of issues through closure
  •          Proactively participate in process improvement initiatives to create more effective and efficient risk mitigation
  •          Partner with colleagues to identify areas that would benefit from new surveillances or reviews
  •          Develop new surveillances to address risks originating from various business lines within the bank
  •          Leverage strong investigative and critical thinking skills to uncover trends and/or additional issues
  •          Respond to inquiries or requests from various internal partners
  •          Develop strong, collaborative relationships with colleagues within the Business Controls, Compliance, Business Line, and Technology organizations 

Required Skills/Experience:

  •          Bachelor’s Degree
  •          Some knowledge of Compliance laws, rules, regulations, risks and typologies
  •          3+ years of experience in the securities industry with knowledge of Banking, Global Markets and/or Research areas
  •          Strong verbal and written 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
  •          Expertise in delivering high quality work products, reflecting attention to detail and analytical prowess
  •          Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment 
  •          Adaptable to change and willing to work in a fast paced environment
  •          Exhibits a positive attitude
  •          Proficient in MS Office including Excel
  •          Bilingual/Multilingual skills a plus

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The candidate will join the Global Markets (GM) Communications Review Group.  The GM Communications Review Group is responsible for surveillance of communications to identify potential conduct issues, including but not limited to market misconduct, misuse use of confidential information, conflicts of interest, and violations of Company policies, standards and procedures. 

The candidate’s responsibilities would include:

  •          Engage in the supervision of regulated activities through the timely review of electronic and/or voice communications to detect potential violations of applicable laws, regulations or internal policies in support of the line of business supervision responsibilities
  •          Responsible for the lifecycle of communication surveillance escalations including identifying what merits escalation, and the coordination and documentation of issues through closure
  •          Proactively participate in process improvement initiatives to create more effective and efficient risk mitigation
  •          Partner with colleagues to identify areas that would benefit from new surveillances or reviews
  •          Develop new surveillances to address risks originating from various business lines within the bank
  •          Leverage strong investigative and critical thinking skills to uncover trends and/or additional issues
  •          Respond to inquiries or requests from various internal partners
  •          Develop strong, collaborative relationships with colleagues within the Business Controls, Compliance, Business Line, and Technology organizations 

Required Skills/Experience:

  •          Bachelor’s Degree
  •          Some knowledge of Compliance laws, rules, regulations, risks and typologies
  •          3+ years of experience in the securities industry with knowledge of Banking, Global Markets and/or Research areas
  •          Strong verbal and written 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
  •          Expertise in delivering high quality work products, reflecting attention to detail and analytical prowess
  •          Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment 
  •          Adaptable to change and willing to work in a fast paced environment
  •          Exhibits a positive attitude
  •          Proficient in MS Office including Excel
  •          Bilingual/Multilingual skills a plus

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21072294

Band: H5

Manages People: No

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Christina Rodgers

Referral Bonus:

0

Street Address

Primary Location:
1133 Ave Of The Americas, NY, New York, 10036