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