- Conduct daily surveillance of electronic and voice communications to ensure compliance with appropriate rules, regulations, and firm policies
- Perform research and investigations to identify the reason for potential violations
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements
- Work with members of the firm’s Business Lines, Advisory and other departments, to identify, analyze, investigate, and resolve issues
- Work on ad-hoc Surveillance Projects as needed, such as new tool implementation
- Provide training and mentorship to junior staff, assisting them in their daily tasks.
We are looking for someone with strong analytical skills, who can identify key facts from a large amount of information. You should understand the importance of compliance/risk management frameworks and testing programs, even if you do not have experience working directly in that area. You ideally have:
- Fluency in English (mandatory)
- Good level on French (Preference)
- Work or education experience in regulatory, audit, compliance, risk, surveillance, or equivalent
- Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)
- Minimum of a Bachelor degree (prefer in Finance, Business and Economics) or equivalent work experience
- Ability to multi-task effectively and handle change well
- Advanced MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
- Advanced Power BI or other Visualization tools
Our workplace reflects the vibrant spirit of our locations, with initiatives such as a Green Transportation Budget, electric bikes and a flexible Hybrid Work Policy. We promote wellbeing through the Honolulu Wellness Club, a Prayer Room, a Lactation Room, and themed Villages that inspire creativity and collaboration. Through our ESG and DEI strategies, we are committed to being inclusive, caring, and fair, ensuring every voice is heard and valued.