E-Communications Consultant

Manhattan, New York Temporary USD30 - USD40 per hour
  • Opportunity to work directly with the Compliance Director
  • Opportunity to work at a boutique global investment bank

About Our Client

Our client is a leading global independent investment bank, providing innovative strategic advice and solutions to a diverse client base, including corporations, governments, and financial sponsors. With a commitment to excellence and integrity. They deliver tailored financial advisory services across mergers and acquisitions, restructuring, capital raising, and other critical areas. Our client is located in midtown, New York, NY and requires to be on site 4 days/week.

Job Description

As the E-Communications Consultant, you will be responsible for the following:

Compliance E-Surveillance Reviews and Monitoring & Testing

  • Monitoring of electronic communications to assist the Firm in meeting its supervisory obligations
  • Conducting routine and ad hoc compliance testing and monitoring reviews
  • Conduct monthly and quarterly reporting and analysis

Process New Hire Onboarding

  • Liaison with Recruiting %& HCM for New Hire matters
  • Send out welcome email with the initial onboarding paperwork process and manage the compliance new hire process

Compliance Approvals & Disclosures

  • Respond to compliance approval and disclosure requests prompted through the compliance compliance approvals and disclosures systems (ComplySci), such as employee trading, private investments, outside business activities, and political contributions.
  • Process new hire and leaver information
  • Performing data integrity reviews
  • Manage the Gifts review & approval

Assisting with Regulatory Training Preparation

  • Identify and research training topics
  • Assist with updating Training Materials

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

The E-Communications Consultant ll have the following:

  • Bachelors Degree
  • Ability to work on site 4 days/week
  • 1-5 years of experience working at a broker dealer, specifically within a control room
  • Familiarity with Control Room operations, Watch/Restricted List management, employee compliance and personal trading, and IT compliance
  • Strong technical skills including Microsoft Suite (Excel, PPT, Word, etc.)
  • Ability to merge multiple datasets, synthesize and prepare summarized reports in Excel and PowerPoint
  • Detail-oriented with excellent organizational and documentation skills
  • Strong communication skills and comfortable communicating with a wide range of employees of all levels across the Firm

What's on Offer

Our client is offering market rate and the possibility to convert into a full time employee

Lauren Dvorscak
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Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
Contract Type
Consultant name
Lauren Dvorscak
Job Reference