This position is responsible for surveillance and monitoring of all assets for regulatory and procedural compliance.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
· Independently manage the surveillance and monitoring function across all applicable jurisdictions.
· Review daily and periodic reports and system flags to identify potential violations, deviations and irregularities.
· Research, confirm and communicate policy violations.
· Work with Retail leadership to identify areas for compliance improvement
· Work with IT to develop and enhance surveillance flags and tools
· Collaborate with process owners to ensure timely completion of action items
· Create and present violation metrics to Head of Compliance for executive reporting
· Identify new trend analytics to further improve the state of compliance, firm wide
· Identify monitoring efficiencies by process and system automation
· Assist the Compliance team as needed
· Stay up-to-date on applicable regulations through internal compliance team partnership
Attention to Detail
Required Education and Experience
Bachelor's degree (B.A.)
5+ years of surveillance and monitoring experience in a highly regulated industry
Additional Eligibility Qualifications
High degree of proficiency in MS Excel and PPT, including writing macros
Prior experience with surveillance software a plus
Experience working with IT on system implementations a plus
This position may have supervisory responsibilities.
This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
While performing the duties of this job, the employee is regularly required to talk or hear. The employee frequently is required to stand; walk; use hands to finger, handle or feel; and reach with hands and arms.
This position requires the ability to occasionally lift office products and supplies, up to 20 pounds.
Position Type/Expected Hours of Work
This is a full-time position, and hours of work and days are Monday through Friday, 9:00 a.m. to 6 p.m. Occasional evening and weekend work may be required as job duties demand.
This position may require minimal travel.
Work Authorization/Security Clearance (if applicable)
This position does not provide H1-B sponsorship. Must be able to successful complete and pass company’s background and drug screen process.