Conduct daily surveillance of electronic and voice communications to ensure compliance with applicable rules, regulations, and firm policies; perform investigations to identify reasons for potential violations; document results and escalate as per policy; collaborate with Business Lines and other departments to identify, analyze, investigate, and resolve issues; participate in ad-hoc surveillance projects and provide training/mentorship to junior staff.
What they are looking for
Details
- Work type
- Hybrid
- Remote eligible
- Yes
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