Global Communications Surveillance Program SME - Assistant Vice President
About The Position
Compliance is now seeking an AVP level Compliance Officer within the Global Communications Surveillance team. Reporting to the Global Head of Communications Surveillance, the primary focus of this role will be coordinating and contributing on key global program initiatives and detection capability for electronic and voice communications. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups support an inclusive workplace for everyone and promote community engagement Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits Educational resources, matching gift and volunteer programs What You’ll Do Assist with implementing and executing against the Global Communications Surveillance program strategy and help represent this to relevant stakeholders including Business Line Compliance, Business Managers, Auditors and Regulators Assist regional program leads with the electronic and voice communications coverage to ensure compliance with appropriate rules, regulations, and firm policies Prepare material for the engagement with global regulators (Federal Reserve Bank (FRB), Securities and Exchange Commission (SEC), Financial Conduit Authority (FCA), BaFin, etc) and management on various topics such as, business messaging, program coverage, surveillance processes Help lead strategic projects within the Global Communications program, in addition to staying ahead of industry practice to drive success Provide guidance on regulatory risk and policy violations during investigations Work closely with members of the Firm’s Business Lines, Compliance, Legal, Technology and other departments, to identify, analyze, investigate, and resolve issues, Work on ad-hoc Surveillance Projects as needed
Requirements
- Advanced work experience in regulatory, audit, compliance, risk, surveillance, or equivalent
- Experience with communications surveillance, or communications platform architecture, data flows, and organizational structure
- Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)
- Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience
Nice To Haves
- Excellent verbal communication and written skills
- A proactive approach to tasks and responsibilities
- Ability to multi-task effectively and handle change well
- Advanced MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
- Team player with great attitude, interpersonal skills and strong work ethic
Responsibilities
- Assist with implementing and executing against the Global Communications Surveillance program strategy and help represent this to relevant stakeholders including Business Line Compliance, Business Managers, Auditors and Regulators
- Assist regional program leads with the electronic and voice communications coverage to ensure compliance with appropriate rules, regulations, and firm policies
- Prepare material for the engagement with global regulators (Federal Reserve Bank (FRB), Securities and Exchange Commission (SEC), Financial Conduit Authority (FCA), BaFin, etc) and management on various topics such as, business messaging, program coverage, surveillance processes
- Help lead strategic projects within the Global Communications program, in addition to staying ahead of industry practice to drive success
- Provide guidance on regulatory risk and policy violations during investigations
- Work closely with members of the Firm’s Business Lines, Compliance, Legal, Technology and other departments, to identify, analyze, investigate, and resolve issues,
- Work on ad-hoc Surveillance Projects as needed
Benefits
- A diverse and inclusive environment that embraces change, innovation, and collaboration
- A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
- Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
- Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
- Educational resources, matching gift and volunteer programs
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
