Overview
Positions are part of the Global Banking and Markets supervisory infrastructure engaged in the supervision of regulated broker/dealer activities. Global Banking and Markets Dedicated Supervisor & Control Officers have been delegated certain responsibilities for reviewing, approving and maintaining aspects of Global Banking and Markets supervisory surveillance to detect and address a violation of applicable law, regulation or internal policy. Positions will perform varying levels of supervisory activities, depending on degree of business, supervisory, regulatory, compliance, and investment banking knowledge, in support of LOB Series 24 Supervisors overall supervision responsibilities.
Job Description
The E-Communications team is responsible for insuring compliance with applicable regulatory and statutory rules and regulations within the electronic communications space. Position is part of the Global Banking and Markets supervisory infrastructure engaged in the supervision of regulated broker/dealer activities. Global Banking and Markets Dedicated Supervisor & Control Officers have been delegated certain responsibilities for reviewing, approving and maintaining aspects of Global Banking and Markets supervisory surveillance to detect and address a violation of applicable law, regulation or internal policy. Positions will perform varying levels of supervisory activities, depending on degree of business, supervisory, regulatory, compliance, and investment banking knowledge, in support of LOB.
Responsibilities
• Review of e-communications with an eye towards spotting any potential violations of regulatory or Bank rules
• Understanding of the broker/dealer space
• Spanish and/or Portuguese fluency desirable
• College Degree preferred
• Good analytic skills
• Knowledge of the Securities Industry Rules and Regulations
• Series 7 Registered or ability to get registered within 6 months of hire date
Requirements
• Knowledge of Securities Industry
• Microsoft Word, Excel, PowerPoint