E-Communication Compliance Analyst

The successful candidate will be responsible for reviewing the electronic communications of the 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:

• Assist in creating and testing a new e-communication surveillance
• 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

Liaise with global E-surveillance team to ensure consistency on handling issues identified 

Skills:	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
Education:	Bachelor's degree preferred

 

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Last updated on Aug 3, 2015