Professional Services Supervision Reviewer

Location

Bangalore | India

Job description

Smarsh is the leader in communications compliance, archiving, and analytics. We provide compliance across the broadest set of communications channels with insights on what's being captured. Smarsh customers manage over 500 million daily conversations across 80 channels and growing. Customers include the top 10 U.S., top 8 European, top 5 Canadian, and top 3 Asian banks. The Smarsh advantage is customers stay ahead of compliance and uncover patterns and relationships hidden within their data.

At Smarsh, we've been helping our customers manage new forms of communication since 1998. We work closely with regulators including the SEC, FINRA, IIROC, PRA, FCA and with our customers, to ensure they understand the capabilities of today's technology and our platform meets their most stringent requirements. Our products include Connected Capture, Connected Archive, Web Archive & and Business Solutions.

About the Role

In this role, you will be responsible for the day-to-day supervision activities for the Smarsh Assisted Review program. Qualified candidates will have a background in financial services, and posses a keen attention to detail

Roles & Responsibilities

• Maintain working knowledge of policies and procedures regarding regulatory agencies, including FINRA and the SEC
• Conduct compliance reviews and analysis of regulatory compliance policies for Financial Services and Mortgage Lending clients
• Ensure that reviewed communications comply with regulatory requirements and organizational policies
• Track and report review activity by client
• Participate in periodic trainings and regulatory education opportunities
• Identify and escalate communications that pose a potential compliance and/or operation risk
• Performs other duties and responsibilities as assigned

Skills and Qualifications

• Knowledge of the rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies
• Critical thinking and quick decision-making abilities as it relates to regulatory compliance and risk mitigation
• Ability to manage time efficiently to facilitate timely and thorough communication review
• Experience working with automated supervision/surveillance/compliance tools (Smarsh preferred), used to detect and report suspicious activities
• Bachelor's degree (especially in Business or Finance) or an equivalent combination of experience and education
• 2+ year of relevant experience (supervision, conducting AML investigations, customer due diligence, SARs preparation and filing) a plus

Why Smarsh

Ready to join a thriving tech company that's redefining digital archiving and business intelligence

Smarsh is the leading comprehensive archiving platform. Recognized as one of today's fastest growing companies in the U.S., Smarsh delivers innovative cloud-based solutions that help organizations manage and enforce flexible and secure records retention and compliance strategies for electronic communications, including social media and enterprise social networks (Yammer, Chatter, Facebook, LinkedIn and more).

Our motto is 'People First. Inspire Confidence. Embrace the Impossible.' We hire lifelong learners who have a passion for their discipline and a track record of excellence. To learn more about us, visit

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