Compliance Associate, E-Communications Surveillance
: Job Details :

BAM is seeking a Compliance Associate for its New York office. This role will report to a Compliance Officer in the New York office and will primarily focus on the firm's e-communications surveillance program.In the role of Compliance Associate, the employee will be responsible for the following:Perform regular e-communications review and surveillance to detect any BAM Compliance policy breachesEnhance and test BAM's e-comm surveillance program (Global Relay and Behavox experience is a plus)Apply sound judgement regarding conduct and business practices by recognizing and analyzing issues to escalate to senior managementAssist with preparation and completion of various regulatory filingsSupport team with annual reviews and updates to the Compliance manualAssist with the administration of the Code of Ethics, including personal trade monitoring and new hire onboardingHandling ad hoc projects for the Compliance teamProvide administrative support to the Compliance teamQUALIFICATIONS & REQUIREMENTS:In order to effectively represent the Company and communicate with clients, the employee must be someone who has: Sound judgement and ability to analyze email contentAbility to manage multiple tasks in a fast-paced environmentDemonstrates high level of discretion in handling confidential informationHighly detail oriented and possess strong organizational skillsTeam player who is able to collaborate across departmentsStrong work ethic and ability to prioritize projectsAbility to work on tasks independently and escalate issues as they ariseEDUCATION, TRAINING & EXPERIENCE:1-3 years of Compliance experience4 year Bachelor's degreeStrong written and verbal communication skillsGlobal Relay and Behavox experience is a plusProficient Excel skills