US Analyst - Surveillance & Monitoring Compliance

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. Key Responsibilities: * 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. Management and Reporting: The position reports to the Head of Surveillance & Monitoring in Americas Key Internal Contacts: The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Financial Security, and IT support. Key External Contacts: The employee will most likely interact on a regular basis with Front Office, Head Office Compliance, Middle Office, Back Office and IT support personnel.