Senior Analyst Qa Compliance

Purpose

The objective of this position is to contribute strengthen the Compliance electronic communications (E-Comms) and voice communications (V-Comms) monitoring and surveillance program, inclusive of policies, procedures, processes and methodologies, in place to satisfy applicable U.S. legal and regulatory requirements/expectations.
The QA Senior Analyst will perform various reviews on a regular basis and may collaborate on projects integral to the Compliance Monitoring & Surveillance program under the direction of the E-Comms lead, and the Head of the U.S. CM&S team.

Accountabilities

• Business Knowledge: Maintain a working knowledge of relevant SRO, Federal, and State regulations applicable to Banks, Broker Dealers, and Swap Dealers, and stay informed on applicable trading strategies and firm policies.
• Monitoring and Surveillance Execution:
  • Conduct reviews of electronic and voice communications (E-Comms and V-Comms) ...