Compliance Surveillance Associate

Full Time

International Banking Client

Office Status: Hybrid

Essential Duties and Responsibilities:

  • Review, research and appropriately respond to alerts identified on the Firm’s suite of equity surveillance report platforms.
  • Assess the current equity surveillance program and identify opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practices.
  • Assist with the updating of the Firm’s policies and procedures and related documentation to reflect any amendments made to the equity surveillance program.
  • Review the Equity business transaction reports to ensure accuracy and take remedial action as needed
  • Provide report review status updates and activities to senior compliance officers and other key stakeholders
  • Assist with the reporting improvement requests and bug remediation requests with IT teams
  • Keep abreast of regulatory changes, new regulations, and internal policy changes in order to further identify new key risk areas.
  • Performs other duties and responsibilities as assigned.
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