Job Description
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In this role you will:• Conduct daily review of electronic communications and understand those required to be escalated to management by identifying applicable regulatory or BNS requirements
• Report results of the eCommunications Monitoring Program within Global Wealth Management
• Perform analysis and produce various reports utilizing Microsoft Office applications and Data Analytics tools
• Identify trends, repeat findings, and patterns of identified issues and escalate all matters which may present a potential issue
• Maintain an informed level of knowledge of GWM business units (brokerages, asset management, estates and trust, private banking, mutual fund dealers, and International Wealth Management), including operational processes, regulatory obligations and risk governance
• Participate in initiatives to increase awareness of eCommunications conduct
• Conduct periodic analysis on the supervised employees lists (re...