Job summary:
As a Senior Associate in Central Supervision on the Supervision Offshore team, you will support the team in day-to-day responsibilities and broader projects related to the Supervision Team. You will play a crucial role in fostering a collaborative team culture and driving the success of our compliance efforts.
Job responsibilities:
- Assist in managing Central Supervision Analysts, focusing on electronic communication review across North America, APAC, and EMEA markets, including daily work volumes strategy and staffing.
- Conduct quality assurance reviews, monitor performance, provide feedback, and resolve QA issues.
- Conduct email reviews based on business needs, internal/external audit requests, etc.
- Enhance supervisory tools, reports, and programs used to monitor the electronic communication review process.
- Address escalation issues from Field Supervision and/or team members.
- Interact with Supervisory Management, Compliance, Administration, and Technology teams.
- Manage the E-comm Connect tool, including testing, lexicon refinement, and system maintenance with submission, tracking, and validation of tickets.
- Appropriately escalate and help resolve Electronic Communication issues as warranted.
- Participate in projects and various initiatives.
Required qualifications, capabilities, and skills
- Excellent interpersonal, verbal, and written communication skills.
- Strong organizational and supervisory skills.
- Strong research, analytical, problem-solving, and decision-making skills.
- Demonstrated leadership, employee development, coaching, and motivational skills.
- Excellent computer navigational skills (Microsoft Office, Excel, and PowerPoint).
- Extensive people management experience.
- Five years of supervisory or project management experience.
Preferred qualifications, capabilities, and skills
- At least two years of securities/investment industry experience.
- Proven ability to work in a dynamic team environment.