Compliance, E-Communication Surveillance, Associate – New York – ECC47148

New York
Posted 7 years ago

Job Summary & Responsibilities

The successful candidate will be responsible for reviewing the electronic communications of ECC employees to mitigate reputational and regulatory risk to the firm.  The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy.  The E-Communications team works closely with Compliance, Legal, Employee Relations, Information Security and Technology.  Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

Principal Responsibilities:
•  Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other things)
•  Identify, document and resolve potential regulatory/compliance issues
•  Create monthly reporting summaries on issues identified
•  Liaise with Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
•  Liaise with global E-surveillance team to ensure consistency on handling issues identified
•  Surveillance creation and testing; create efficiencies with existing surveillances

Basic Qualifications

•  Prior document and/or e-discovery review experience
•  Attention to detail and strong follow-up skills
•  Excellent oral and written communications skills
•  Strong interpersonal skills
•  Excellent problem solving skills with the ability to exercise sound and balanced judgment
•  Ability to handle multiple tasks simultaneously and work under pressure
•  French or German language skills preferred

Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.

Job Features

Job CategoryCompliance
Job TypeFTE
Job LocationNew York

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