Bilingual Business Supervisory Analyst
The Business Supervisory Analyst will assist Wealth Management to ensure Compliance with all policies and procedures.
Key responsibilities will include:
- Primary responsibility will be to conduct Latin American Team email / communication surveillance and monitor for misleading statements, improper representation, misuse of client data, client complaints and other potential issues
- Ensure compliance with all Bank and B/D policies and procedures
- Proper escalation to Business Supervisory Office (BSO), Senior Management and Compliance of all serious matters
- Maintain and enforce the Firm's policies and procedures per current Regulatory standards
- Look for ways to enhance current controls and provide feedback for process enhancements
- Assist with other regulatory projects from time to time for BSO group.
• Post ID: 18448502 jacksonville