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Compliance Analyst - Electronic Surveillance

NEW YORK-10005, NY, US
07/09/2018

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Required Skills

Microsoft Office Suite

Company

Infinity Consulting Solutions, Inc

Experience

Job Description

The NY Branch of a foreign bank is looking for a Compliance Analyst - Electronic Surveillance.

The Electronic Surveillance Associate's day to day responsibilities will review electronic communications flagged by our electronic surveillance system and validate whether a further review is warranted.

If further reviews are warranted, the Associate will escalate for further review and assist the second level reviewer to address concerns.

In addition, the Associate will:

Manage escalation cases and prepare required documentation Prepare management information reports showing relevant data yielded as part of our surveillance activities.

Assist in the administration of the electronic surveillance systems, perform reconciliations against employee data. Assist in maintaining standardized: policies, procedures, checklists, matrices, report formats, etc.

Assist with the development of testing methods and reports to support testing and monitoring efforts

Assist with providing written reports to various boards, committees, senior management and stakeholders as required

Assist with the organization, delivery and tracking of training

Assist with advertising and marketing review

Assist, draft and update compliance policies and procedures

Assist with regulatory exams and inquiries Monitor and track NAB's compliance with policies and procedures

Assist with providing real time advice / guidance on policy, procedural and / or regulatory requirements to the business

Stay current on regulatory changes Interact and maintain highly effective partnerships with line of business management and staff

Provide assistance, support and management of other projects as assigned

Skills:

Series 7 and Series 24 required or the ability to obtain the Series 7 and 24 within the first 6 months of employment

Broad working knowledge of laws and regulations related to areas of assignment

Demonstrated ability to develop project plans and independently coordinate and complete projects in a timely manner

Strong Critical Thinking and Problem Solving Skills Self-starter

Ability to analyze complex laws and regulations Quick and accurate reading comprehension

Efficient and Accurate record keeping Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner

Ability to influence others' actions and decisions without express of authority

Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel)