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 2001. We work closely with regulators including the SEC, FINRA, IIROC, and the PRA and FCA, and with our customers, to ensure that they understand the capabilities of today’s technology and that our platform meets their most stringent requirements. Our products include Connected Capture, Connected Archive, Web Archive, Business Solutions, & Federal Arch.
Supervision Specialist is a unique role combining supervision services, project management, customer success and business analysis/documentation. In this role, the Supervision Specialist assists in the day-to-day operations of the Smarsh Supervision Services.
As a supervision specialist, you will work closely with customers and internal partners to help Smarsh users enable a best in class supervision program. A self-starter, life-long learner with a passion for creative problem solving will thrive in this role.
Smarsh is looking for a new addition to our Subject Matter Expert team with a keen ability to balance competing priorities, and a zeal for continuous improvement.
- Build and maintain a strong knowledge of policies and procedures regarding regulatory agencies, including FINRA
- Partner with legal, compliance, and business partners to stay tuned with ongoing business process changes, regulatory expectations, customer feedback, etc.
- Meet with customers to support and implement supervision services, consult on best practices, and develop supervision workflows
- Assist in development, implementation and refinement of supervision lexicon and policies to enable customers to meet regulatory obligations
- Setup searches, queues, tags, and other attributes in the Smarsh platforms
- Analyze customer data, transactional activity, and procedural documentation to determine adherence to best practices
- Conduct compliance reviews and analysis of regulatory compliance policies for the Assisted Review service
- Prepare, proofread, and distribute reports, correspondence, forms, etc., of a specialized and confidential nature
- Serve as a subject matter expert to support sales activity, provide insight into product enhancements, and promote customer success
- Ability to work under tight deadlines and balance competing priorities
- Problem-solver and self-starter who is comfortable working independently or within a group setting
- Strong analytical and conceptual thinking skills
- Ability to quickly grasp and explain technological and business concepts
- Excellent written and verbal communicator
- Familiarity with DataMinder/Orchestria, Proofpoint, Global Relay a plus.
- Bachelor’s degree (especially in Business, Finance, Economics, Statistics, Accounting), Advanced degree (JD, MBA, MSF) preferred, or an equivalent combination of experience and education
- 2+ years’ customer-facing project management, account management, or customer success experience preferably for enterprise/SaaS product or services organization
- 2+ years’ experience in financial services or regulatory agency environment
- At least 1 year of relevant experience (conducting AML investigations, customer due diligence, SARs preparation and filing) a plus.
- Experience working with automated supervision/surveillance/compliance tools (Smarsh preferred), used to detect and report suspicious activities