Elevate your career by joining a team dedicated to excellence in regulatory compliance and operational risk management. As a key member of our Supervision Offshore Team, you will lead initiatives that ensure our business meets its regulatory obligations. This role offers a platform to drive impactful change and contribute to the success of our organization.

 

Job summary:

As a Senior Associate in Central Supervision on the Supervision Offshore team, you will support the team in day-to-day responsibilities and broader projects related to the Supervision Team. You will play a crucial role in fostering a collaborative team culture and driving the success of our compliance efforts.

 

Job responsibilities:

Assist in managing Central Supervision Analysts, focusing on electronic communication review across North America, APAC, and EMEA markets, including daily work volumes strategy and staffing. Conduct quality assurance reviews, monitor performance, provide feedback, and resolve QA issues. Conduct email reviews based on business needs, internal/external audit requests, etc. Enhance supervisory tools, reports, and programs used to monitor the electronic communication review process. Address escalation issues from Field Supervision and/or team members. Interact with Supervisory Management, Compliance, Administration, and Technology teams. Manage the E-comm Connect tool, including testing, lexicon refinement, and system maintenance with submission, tracking, and validation of tickets. Appropriately escalate and help resolve Electronic Communication issues as warranted. Participate in projects and various initiatives.

Required qualifications, capabilities, and skills

Excellent interpersonal, verbal, and written communication skills. Strong organizational and supervisory skills. Strong research, analytical, problem-solving, and decision-making skills. Demonstrated leadership, employee development, coaching, and motivational skills. Excellent computer navigational skills (Microsoft Office, Excel, and PowerPoint). Extensive people management experience. Five years of supervisory or project management experience.

Preferred qualifications, capabilities, and skills

At least two years of securities/investment industry experience. Proven ability to work in a dynamic team environment.

 

All application requirements (including updated resume - please include specifics of your career) should be posted, submitted and completed in the Oracle tool.