What are the responsibilities and job description for the Compliance Analyst position at Dexian?
Risk Specialists are highly motivated Risk Management professionals with excellent organizational and communication skills. They work to identify and mitigate potential risks to the company using various compliance surveillance tools and methods. This position will work with a team of professionals to assist in the management of the commercial bank’s Associate Surveillance Program.
Responsibilities :
- Review electronic communications for the monitored population to ensure no instances of illegal or unethical trading practices
- Conduct reviews on employee communications for internal policy / procedure lexicon alerts.
- Monitor and ensure employees are not sending sensitive or proprietary information to their personal email accounts.
- Along with the licensing and registration team, manage onboarding and offboarding of monitored employees
- Flag any incidents of non-compliance or inappropriate conduct to the team manager for review.
- Regularly work with leadership to review and identify opportunities for the surveillance lexicon refinement.
The Ideal Candidate will have :
Basic Qualifications :
Preferred Qualifications :
Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.
