Analyst

• Performs various monitoring activities including trade and electronic communication reviews on a day-to-day basis, adhering to established SLAs
• Reviews and dispositions flagged trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system and escalates matters to the field supervision team
• Reviews and dispositions identified electronic communications, including email, texting, and social media and escalates matters to the field supervision team
• Performs employee trade monitoring and other supervisory functions delegated to the Centralized Supervisory Unit
• Prepares various trend reporting used by the field supervision team in their oversight of Firm business to help identify trends areas of concern
• Responds to inquiries, both internal and external, to produce various evidence of performed activities, as needed
• Assists with the development and maintenance of the department's written supervisory and desktop procedures
• Proactively identifies areas for process improvement and/or enhanced risk identification

Central Supervision Analyst

Treasury Analyst – Temporary