E-communications Surveillance Associate in New York, New York | Careers at New York more...
Location:New York, NY
Company:Sumitomo Mitsui Banking Corporation (SMBC)
First posted:May 24, 2021 (last updated 4 weeks 6 hours ago)
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Career Category Compliance and Legal
iCIMS ID 2021-9488
Corporate Title Associate
Type Fulltime-Regular
Overview

The candidate will be responsible for reviewing corporate electronic communications and escalating suspicious or non-compliant events for a New York City based Banking, Securities and Derivatives division of a Global Financial Group. The candidate will need to consider FRB, FINRA, SEC and CFTC rules, as well as internal policies.


Responsibilities

  • Timely review of incoming/outgoing electronic communications (including emails and IMs)
  • Identifying electronic communications that require further investigation and escalating to an appropriate line of business supervisors or control function, accompanied by appropriate documentation to support the escalation
  • Staying abreast of relevant regulations, industry best practices, and internal policies
  • Supporting ad-hoc special investigations at the direction of management
  • Participating in projects to expand, improve, and refine the electronic communications surveillance program for the Americas Division


Qualifications

  • Working knowledge of systems used for electronic message reviews
  • Prior work experience in the financial industry
  • Fluency in Japanese, Portuguese, and/or Spanish is desired
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