Associate -Commercial Bank Associate Surveillance Program

Discover Financial
Richmond, New York, Virginia
Workplace: OnsiteFull timeUSD 109,900 - 125,400 annuallyFunction: Communications, PR & CommunityExperience: 1+ yearsEducation: bachelorsSkills: ["Analytical writing","Communication","Organizational skills","Time management","Research skills"]

Support the management of a Commercial Bank Associate Surveillance Program by performing day-to-day review of alerts generated from compliance surveillance tools. Apply knowledge of SEC, FINRA, and CFTC rules to identify permissible vs. impermissible activity, and collaborate with compliance, business risk, legal, and other stakeholders to investigate and resolve potential compliance issues. Enhance surveillance practices and procedures while maintaining strong written, verbal, and research skills.

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Discover Financial
Discover Financial
1 week ago

Associate -Commercial Bank Associate Surveillance Program

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Source: Company careers pageValidated by: Fursa AI
Last checked: 44 minutes agoStatus: Live

Job Summary

Support the management of a Commercial Bank Associate Surveillance Program by performing day-to-day review of alerts generated from compliance surveillance tools. Apply knowledge of SEC, FINRA, and CFTC rules to identify permissible vs. impermissible activity, and collaborate with compliance, business risk, legal, and other stakeholders to investigate and resolve potential compliance issues. Enhance surveillance practices and procedures while maintaining strong written, verbal, and research skills.
Location: Richmond, New York, Virginia
Workplace: Onsite
Employment Type: Full time
Job Function: Communications, PR & Community
Seniority: Entry level

Key Responsibilities

  • •Assist in the management of the Commercial Bank Associate Surveillance Program.
  • •Review alerts generated from compliance surveillance tools on a day-to-day basis.
  • •Identify and assess potential compliance issues related to SEC, FINRA, and CFTC rules.
  • •Interface with compliance officers, business risk officers, legal, and stakeholders to review and resolve issues.
  • •Enhance surveillance practices and procedures.

Pay and Benefits

Salary: USD 109,900 - 125,400 annually

Key Requirements

  • •Bachelor’s Degree (or military experience).
  • •At least 1 year of compliance experience.
  • •Familiarity with SEC, FINRA, and CFTC rules and regulations related to permissible and impermissible activity.
  • •Proficiency with electronic communication and personal trading surveillance systems.
  • •Excellent written and verbal communication skills.
Experience:1+ yearsFinancial services
Education:Bachelor's
Skills:Analytical writingCommunicationOrganizational skillsTime managementResearch skills
Certifications:FINRA Series 7FINRA Series 63
Tech Stack:G-SuiteMicrosoft Office

Eligibility

Work Authorization:Authorization required. Sponsorship not provided.

Company Brief

Discover Financial
Provides consumer banking products, credit cards, personal loans, and payment services through the Discover brand. It operates a major U.S. financial network and serves individuals and merchants with lending and digital payment solutions.
Industry: Retail Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 10M to 25M
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Riverwoods, United States
Founded: 1985
WebsiteLinkedIn