Senior Associate, Risk Specialist - eComm Surveillance Population Management

- Population Management & Governance: Maintain the definitive, golden-source inventory of the monitored employee population. Actively track internal transfers, role changes, and status updates to guarantee continuous regulatory compliance coverage.

- Onboarding & Offboarding Orchestration: Partner seamlessly with key stakeholder teams (including Licensing & Registration, Swap Dealer/Broker Dealer Advisory,Tech and Mobility) to manage the end-to-end lifecycle of monitored associates, ensuring surveillance tracking initiates and terminates precisely on schedule.

- System Provisioning & Access Verification: Validate that newly onboarded associates are flawlessly configured across all compliance surveillance tools, databases, and communication channels from day one.

- Data Reconciliation: Design and execute rigorous daily, weekly, and monthly reconciliation processes between internal data feeds and surveillance system rosters to proactively identify, investigate, and remediate any gaps or anomalies.

- Cross-Functional Collaboration: Serve as the primary point of contact for internal business partners regarding population scoping, access issues, and roster data discrepancies.

- Process Innovation: Collaborate with leadership and technical teams to streamline workflow pipelines, automate manual reconciliation tasks, and refine operational procedures.

- Incident Escalation: Promptly identify and flag operational gaps, technical setup failures, or potential compliance risks regarding population tracking to team leadership for immediate review.

- Strong Analytical & Data Reconciliation Skills: Proven ability to analyze large employee datasets, spot systemic discrepancies, and resolve complex roster anomalies.

- Advanced Data Tool Proficiency: High comfort level with G-Suite and Microsoft Excel (e.g., VLOOKUPs, XLOOKUPs, pivot tables, data cleaning formulas).

- Process & Workflow Excellence: Exceptional organizational skills with a track record of managing high-volume queues without sacrificing attention to detail.

- Effective Communication: Ability to articulate complex data issues clearly to both technical teams and non-technical business partners.

- Risk Mindset: A foundational understanding of financial services compliance, regulatory environments, or employee monitoring programs.

- At least 2 years of experience in operations, process management, data reconciliation, or Compliance onboarding workflows

- At least 2 years of experience utilizing G-Suite or Microsoft Office for data tracking, reporting, or analysis

- 3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution

- Familiarity with the operational tracking required under financial regulatory frameworks (managing monitored populations under FINRA, SEC, or CFTC guidelines)

- Experience utilizing data management systems or specialized compliance surveillance tools to manage user permissions and communication groups

- Experience partnering with internal business clients and technical teams to automate manual operational processes

New York, NY: $105,300 - $120,100 for Compliance Advisory Specialist II