Demonstrates expertise in communication surveillance and compliance laws, with a strong ability to analyze risks and trends in the securities industry. Proficient in developing effective surveillance strategies and collaborating with internal partners to enhance risk mitigation processes.

Highest-signal resume keywords

Communication SurveillanceCompliance Laws KnowledgeRisk Mitigation StrategiesBilingual in Chinese (Mandarin) and EnglishSecurities Industry Experience

About the role

Key responsibilities & impact

Perform timely reviews of electronic and voice communications to detect potential violations of applicable laws, regulations or internal policies
Manage the lifecycle of communication surveillance escalations, including identifying matters for escalation and coordinating and documenting issues through closure
Participate in process improvement initiatives to create more effective and efficient risk mitigation
Partner with colleagues to identify areas that would benefit from new surveillances or reviews
Develop lexicon-based surveillances to address risks originating from various business lines
Use investigative and critical thinking skills to uncover trends and additional issues
Respond to inquiries or requests from internal partners
Join the Global Markets Communications Review Group, responsible for surveillance of communications and identification of potential conduct issues

Requirements

What you’ll need

Bachelor’s Degree
Chinese (Mandarin) and English fluency
Some knowledge of Compliance laws, rules, regulations, risks and typologies
2+ years of experience in the securities industry with knowledge of Global Markets and/or Research areas
Strong verbal and written skills
Must be a self-starter, flexible, innovative and adaptive
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Adaptable to change and willing to work in a fast paced environment
Exhibits a positive attitude
Must be detail-oriented and be able to work collaboratively
Proficient in MS Office including Excel

Benefits

Comp & perks

Affordable, competitive and flexible benefits
Support for teammates’ physical, emotional, and financial wellness
Opportunities to learn, grow, and make an impact
In-office culture supporting collaboration, engagement, and career development
Appropriate level of flexibility based on role-specific responsibilities and business needs

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Communication SurveillanceRisk AnalysisLexicon-Based Surveillance DevelopmentProcess ImprovementInvestigative SkillsCritical ThinkingDetail OrientationSecurities Industry KnowledgeGlobal Markets KnowledgeResearch Areas Knowledge

Soft Skills

Strong Verbal SkillsStrong Written SkillsInterpersonal SkillsAdaptabilityPositive Attitude

Tools & Technologies

MS OfficeExcel

Industry Keywords

ComplianceRegulationsRisk TypologiesEscalation ManagementCommunication Review Group