Professional Services Supervision Reviewer II
Smarsh
5 - 10 years
Bengaluru
Posted: 09/03/2026
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Job Description
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.
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