Job Title

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 SECConduct compliance reviews and analysis of regulatory compliance policies for Financial Services and Mortgage Lending clientsEnsure that reviewed communications comply with regulatory requirements and organizational policiesTrack and report review activity by clientParticipate in periodic trainings and regulatory education opportunitiesIdentify and escalate communications that pose a potential compliance and/or operation riskPerforms other duties and responsibilities as assignedSkills and Qualifications2+ 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 agenciesCritical thinking and quick decision-making abilities as it relates to regulatory compliance and risk mitigationAbility to manage time efficiently to facilitate timely and thorough communication reviewExperience working with automated supervision/surveillance/compliance/discovery tools (Smarsh preferred), used to detect and report suspicious activitiesBachelor’s degree (especially in Business or Finance) or an equivalent combination of experience and education.