🛠 Tech Stack

💼 About This Role

You'll perform day-to-day supervision activities for Smarsh's Assisted Review program, ensuring compliance with regulatory policies for financial services clients. Your work will help identify compliance and operational risks before they become issues. This role offers the chance to work with automated compliance tools and gain expertise in North American and European regulations.

🎯 What You'll Do

• Maintain knowledge of FINRA and SEC regulations
• Conduct compliance reviews of financial services communications
• Track and report review activity by client
• Participate in periodic regulatory trainings

📋 Requirements

• 2+ years of relevant experience in supervision or AML investigations
• Knowledge of SEC and FINRA rules and regulations
• Experience with automated supervision/compliance tools
• Bachelor's degree in Business, Finance, or equivalent

✨ Nice to Have

• Experience with Mortgage Lending clients
• Certification in AML or compliance

🚩 Heads Up

• Role title includes 'Reviewer II' but experience level is junior