Business Risk Management Specialist
Core
Act as the First Line of Defense to identify and monitor issues in suitability and selling processes, conduct trade monitoring, and analyze employee emails for fraud and policy violations within the Private Banking Front Office.
Role type
Business Risk Management Specialist (First Line of Defense)
Builds
Management controls and surveillance procedures for suitability and selling processes
Domain
Private Banking / Financial Services
Required skills
Regulatory compliance (suitability/selling), trade monitoring, email surveillance, fraud detection, data security principles, audit remediation, MS Office proficiency
Preferred skills
Cyber security knowledge, familiarity with email surveillance tools
Technologies
MS Word, MS Excel, MS PowerPoint
Responsibilities
Monitor and analyze employee emails for fraud and policy violations; Conduct trade monitoring and thematic reviews; Translate regulatory expectations into business controls; Provide training to Front Office staff; Investigate suspicious communications; Prepare management reports on surveillance findings.
Seniority
Mid-to-Senior, hands-on IC
