This list contains only the countries for which job offers have been published in the selected language (e.g., in the French version, only job offers written in French are displayed, and in the English version, only those in English).
Summary: The position's responsibilities include the following: review and disposition e-communication alerts as well as alerts related to data loss, performing controls related to broker dealer and swap dealer activities, executing special projects for global and local initiatives, documenting, and delivering global policies, procedures, and training. He/she is expected to be able to work in a team environment, whilst simultaneously managing his/her own individual workload.
Job Responsibility
Review daily e-communication alerts to ensure compliance with Bank policies and Regulatory Requirements
Assist in executing global projects that impact front to bank functions to address compliance with SEC, FINRA, CFTC and NFA regulatory requirements
Assist reviewing and dispositioning alerts related to data loss protection
Assist in developing training and education to make employees aware of their compliance and regulatory responsibilities
Assist the team with any remediation projects in regards to processes or controls, resulted from either regulatory reviews or internal audits
Requirements
Recent college graduate
Candidate is eligible to work in the US
Candidate will not require Visa sponsorship now or in the future (including F1, OPT, CPT, etc.)
Knowledge of Microsoft applications
Familiarity with finance and banking products
Knowledge of International and US AML and OFAC regulations