Job Description,

Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Personal Trading and Outside Activities team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, personal  trading and outside activities, and information barrier surveillance.

Key Activities include:

•             Reviewing and analysis of surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

•             Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies. Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.

•             Responding to inquiries or requests from internal partners (e.g. IRCM, Internal Audit,  Business etc.).

•             Interacting with IT on the specific design and testing of new implementations.

•             Additional activities including handling telephone hotline and email queries.

•             Additional duties as assigned.

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