Manager – E-communications Surveillance & Systems Administration

Bachelor’s degree or equivalent experience within the securities industry
5+ years experience in the financial industry, with a preferred background in risk, surveillance, supervision, or compliance
Experience in interacting with Financial Advisors and Complex management
Foundational knowledge of financial services industry, industry rules, and regulations
Series 7, 66, or ability to get required licenses within 12 months
Drive and demonstrated ability to learn

Develop expertise in US WM’s primary E-communications surveillance processes in order to assist the Sr. Manager with both day-to-day business needs and contribute to program enhancements
Build knowledge around the Risk department’s Electronic Message Review Procedure, as well as the corresponding regulatory/supervisory requirements, to perform ongoing evaluations of lexicon effectiveness and trends
Serve as the initial escalation point for Analyst questions around E-Communications surveillance decision-making
Cultivate a working knowledge of US WM’s trade supervision system, including its user interface and logic, to assist the Sr. Manager with system administration activities
Create and manage a process to track the creation of and schedule regular updates to departmental procedures
Leading and participating in initiatives as assigned

Working knowledge of E-communications surveillance applications
Working knowledge of trade surveillance and client relationship management applications
Experience in working on simultaneous initiatives in a complex organization
Ability to present innovative ideas and think outside the box
Series 24 license or ability to get in the future