Surveillance Intermediate Associate Analyst - Remote

Overview

The Surveillance Intermediate Associate Analyst serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance 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.

In Short

• Serve as a compliance risk analyst for the ICRM Surveillance team.
• Design and implement surveillance systems to detect regulatory violations.
• Review surveillance exceptions for compliance with rules and regulations.
• Document reviews and escalate issues as necessary.
• Participate in special projects and regulatory exams.
• Respond to inquiries from internal partners.
• Maintain ethical standards and safeguard the firm's reputation.
• Utilize advanced project management and organizational skills.
• Collaborate with various levels of the organization.
• Handle multiple projects simultaneously.

Requirements

• 2-5 years of relevant experience in compliance or risk management.
• Knowledge of compliance laws, regulations, and risks.
• Excellent written and verbal communication skills.
• Self-starter with flexibility and innovation.
• Demonstrated interpersonal skills.
• Proficient in MS Office applications.
• Experience in financial services, regulatory organization, or legal field.
• Bachelor's degree or equivalent experience required.
• Advanced degree preferred.
• Ability to assess risk in business decisions.

Benefits

• Competitive salary range of $61,120.00 - $85,280.00/year.
• Medical, dental, and vision coverage.
• 401(k) plan.
• Life, accident, and disability insurance.
• Wellness programs.
• Paid time off including vacation and sick leave.
• Paid holidays.
• Discretionary and formulaic incentive awards.
• Comprehensive employee benefits.
• Equal opportunity employer.