Professional Services Supervision Reviewer II

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 possess a keen attention to detail.

Job Description:

• 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

• 2+ year of relevant experience (supervision, conducting AML investigations, customer due diligence, SARs preparation and filing) required.
• 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
• Bachelors degree (especially in Business or Finance) or an equivalent combination of experience and education.