Job Description

Job Description

Job Summary –

Senior Transaction Processing Executive/Officer – Email Review / Electronic Communication Surveillances – L2 Escalation (US Client).

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 ...

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