Senior Transaction Processing Officer - Email Review

Skills and Qualification

• Candidate should have minimum 1 to 5 Years of work experience in E-communication/Mail Surveillance L2 Reviews preferably within a broker-dealer, investment adviser, or asset management firm.
• Comprehensive knowledge of FINRA and SEC regulations related to communications with the public, marketing, advertising, and complaints reporting.
• Ability to research and analyze electronic communications by using problem-solving and decision-making skills to differentiate between issues and non-issues while researching cases and history related to issues.
• Proficiency with proof-point surveillance platform is a plus.

Key Skills & Deliverables:

• The primary responsibility is to review electronic communications to identify potential violations of FINRA and SEC regulations, including but not limited to communications with the customer complaints, Outside Business Activity, marketing and advertising.
• Investigate and review flagged L2 escalation emails in a timely manner and ensure potential violations are promptly escalated or clear non-issues emails by following established protocols and procedures.
• Collaborate with other e-Surveillance and Compliance team members to address identified issues and support the resolution of escalated matters.
• Maintain up-to-date knowledge of applicable FINRA and SEC regulatory requirements, as well as company policies related to communications monitoring.
• Utilize research, analytical, and organizational skills to document findings and ensure records are accurate and comprehensive.
• Provide clear and concise communication of findings and recommendations to internal stakeholders.
• Support audits and regulatory inquiries by providing documentation and insights needed.
• Sound Analytical, Quick Learning ability, Zeal to learn new things.
• 100% Accurate work required as Errors will have financial impacts from Client and their Customer side.
• Flexible to work in US Shift Working Hours & should be flexible to do Over Time duty if requirement arises.
• Working From Office

Technical / Non-Technical Skills:

• Excellent MS Office skills MS Excel, Power Point, Excel Macros and E Mail Drafting
• Good Typing Speed of 28 WPM with >=95% accuracy
• Excellent Communication skills to Review Email, to attend Client Calls, Onshore Training etc

Behavioral Skills:

• Strictly US Shift Working Hours – should be flexible to do Over Time duty if required.
• Punctual and adherence to attendance and Leaves
• To report to Team Lead and follow the Instructions and the HR Policies as per Company

Certifications Needed:

• Education: 12 + 3 Degree Education is mandatory – B Com, BBA and BBM Graduates preferred, however Candidate with good work experience but with other Specialization can be looked into to some extent Only.
• Additional Certification on Stock Market Subjects & US Regulatory Bodies is added advantage.
• No Tech Graduates – BE, B Tech, M Tech

Expected Competencies:

• Interpersonal Effectiveness: Candidate should be a team player and demonstrate required aptitude and attitude towards work and the Team.
• Service Orientation: Candidate should be Customer Centric and committed to deliver the best to Customers and the Business.

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