Our client, a prestigious international investment bank based in New York, NY, is seeking a Compliance Consultant with an emphasis on email surveillance to join their growing team.

This role is pivotal in ensuring adherence to FINRA regulations and company policies through meticulous email and text surveillance.

Responsibilities:

• Conduct comprehensive email and text message surveillance to identify noncompliant activities.
• Mitigate risks by preventing violations of federal securities laws and company policies.
• Escalate risk-related issues to management promptly.
• Stay updated on regulatory changes and implement necessary adjustments in surveillance processes.

Qualifications:

• Previous experience in email surveillance, preferably within the financial services industry.
• Strong understanding of FINRA requirements and federal securities laws.
• Excellent analytical skills and attention to detail.
• Ability to handle sensitive information with discretion and integrity.