Job Overview: The Electronic Communications Compliance (eComm) team within the Risk and Compliance organization is seeking temporary support to ensure our technology complies with all regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise). In this role, you will collaborate with key stakeholders to help protect the business from legal and compliance risks.
Responsibilities:
- Manage and support firm-wide risk and compliance activities for digital tools that contain electronic communications. This may include, but is not limited to, email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web portals. Proactively identify CARS requirements and improvement opportunities for these tools.
- Oversee control performance, ensuring that key eComm controls are executed within appropriate guidelines, given the risk profile.
- Perform eComm controls and participate in project engagements as needed.
What are we looking for? The ideal candidate will have a client-first mindset, a financial background, strong attention to detail, astute problem-solving skills, and highly effective verbal and written communication abilities. The candidate should be able to lead and contribute positively to a team-focused environment, driving both growth and innovation.
Requirements:
- 1-3+ years of compliance and/or supervision experience within a broker-dealer environment.
- Working knowledge and understanding of electronic communications functions, particularly email, email journaling, instant messaging, text messaging, and collaboration tools.
- Technical aptitude with the ability to think critically and troubleshoot issues.
- High adaptability and comfort in performing a wide variety of tasks.
- Ability to manage sensitive data.
- Advanced proficiency in Microsoft Word, Excel, Access, PowerPoint, Visio, Adobe Acrobat, SharePoint, and Outlook.
Core Competencies:
- Excellent verbal and written communication skills.
- Personable and reliable self-starter who requires minimal management oversight for day-to-day responsibilities.
- Strong attention to detail with a proactive approach to solving and preventing problems.
- Ability to remain accountable while working under pressure and managing multiple priorities.
- Ability to interface effectively with all levels of management.
Preferences:
- 5+ years of experience in a client-facing or technology-focused role.
- 3+ years of experience in leadership or influential individual contributor roles.
- Strong understanding of industry best practices in electronic communications.
- A combination of successful technology and/or project leadership experience is highly desirable.
