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Smarsh

Posted 3 months ago

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Professional Services Supervision Reviewer II

BangaloreOn-siteFull-time

AI Summary

Responsible for day-to-day supervision activities for the Smarsh Assisted Review program, ensuring reviewed communications comply with SEC/FINRA regulations and organizational policies.

About this role

Who are we?

Smarsh empowers its customers to manage risk and unleash intelligence in their digital communications. Our growing community of over 6500 organizations in regulated industries counts on Smarsh every day to help them spot compliance, legal or reputational risks in 80+ communication channels before those risks become regulatory fines or headlines. Relentless innovation has fueled our journey to consistent leadership recognition from analysts like Gartner and Forrester, and our sustained, aggressive growth has landed Smarsh in the annual Inc. 5000 list of fastest-growing American companies since 2008.

About the Role:
Smarsh is seeking a supervision reviewer. In this role, you will be responsible for the day-to-day supervision activities for the Smarsh Assisted Review program. Qualified candidates will have a background in financial services, and posses a keen attention to detail.

Responsibilities

  • Maintain working knowledge of policies and procedures regarding North American and European regulatory agencies, including FINRA and the SEC
  • Conduct compliance reviews and analysis of regulatory compliance policies for Financial Services and Mortgage Lending clients
  • Ensure that reviewed communications comply with regulatory requirements and organizational policies
  • Track and report review activity by client
  • Participate in periodic trainings and regulatory education opportunities
  • Identify and escalate communications that pose a potential compliance and/or operation risk
  • Performs other duties and responsibilities as assigned

    • Skills and Qualifications

  • Knowledge of the rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies
  • Critical thinking and quick decision-making abilities as it relates to regulatory compliance and risk mitigation
  • Ability to manage time efficiently to facilitate timely and thorough communication review
  • Experience working with automated supervision/surveillance/compliance/discovery tools (Smarsh preferred), used to detect and report suspicious activities
  • Bachelor’s degree (especially in Business or Finance) or an equivalent combination of experience and education.
  • 2+ year of relevant experience (supervision, conducting AML investigations, customer due diligence, SARs preparation and filing) required.

    • Skills

    AML InvestigationsClient Communication ReviewCompliance ReviewDiscovery ToolsDue DiligenceFinancial Services RegulationsFinra And SEC KnowledgeKPI TrackingPolicy And Procedure KnowledgeRegulatory ComplianceRegulatory EducationRegulatory ReportingRisk AssessmentSAR Preparation And FilingSmarsh PlatformSupervision And Quality Control

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