Overview

JOB ID: 40510

NUMBER OF OPENINGS: 1

About The Division of Compliance

The Division of Compliance works with all other divisions to ensure that its daily business activities are consistent with regulatory requirements. It monitors change in regulatory policy that affects our business interests, and it shares information with regulators to manage risk as it arises.

The division focuses on specific topics, each of which play a vital role in supporting the firm’s reputation. We look for analytically-minded people from all academic backgrounds that demonstrate excellence across multiple disciplines, a strong interest in financial services, strong interpersonal skills, and knowledge of securities laws and regulations.

Overview

The E-Communications Compliance Analyst is responsible for reviewing the electronic communications of Global Advisers employees to mitigate reputation and regulatory risk to the firm.  The review process focus primarily on possible breaches of the law, the rules and regulations governing the securities industry, and internal firm policy.  You will work closely with Compliance, Legal, and Technology teams, and you will have the opportunity to manage projects, participate in firm wide initiatives, and conduct training of more junior team members.

 

Job Summary and Responsibilities

  • Monitor e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other things)
  • Identify, document, and resolve potential regulatory/compliance issues
  • Create monthly reporting summaries on issues identified
  • Work with Compliance and Legal to assess and assign risk and follow up on issues identified during review of e-communications
  • Create and test new methods of monitoring communications

Qualifications

  • Four year degree from an accredited college or university
  • Prior document and/or e-discovery review experience
  • Attention to detail and strong follow-up skills
  • Excellent oral and written communications skills
  • Strong interpersonal skills
  • Excellent problem solving skills with the ability to exercise sound and balanced judgment
  • Ability to handle multiple tasks simultaneously and work under pressure

Global Advisers is equal opportunity employer that does not discriminate in employment on any basis that is prohibited by federal, state, or local laws.

Disability Accommodation   Equal Employment Opportunity