Associate, Business Support Analyst - E-Comm Reviewer, GM & GBAM COO, Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Bank Of America / Merrill Lynch
  • 18 Feb 18 2018-02-18

Associate, Business Support Analyst - E-Comm Reviewer, GM & GBAM COO, Hong Kong


Company Overview
Our purpose as a firm is to make financial lives better, through the power of every connection. Across the world, we partner with leading corporate and institutional investors through our offices in more than 40 countries. In the U.S alone, we serve almost all Fortune 500 companies and approximately 59 million consumers and small-business customers. We provide a full suite of financial products and services, from banking and investments to asset and risk management. We cover a broad range of asset classes, making us a global leader in corporate and investment banking, sales and trading.

Connecting Asia Pacific to the WorldOur Asia Pacific team is spread across 23 offices in 12 markets. We are focused on connecting Asia to the world and the world to Asia, using our global expertise to ensure success is shared between us, our clients and our communities. Our regional footprint covers 12 currencies, more than a dozen languages and five time zones, placing us firmly among the region's leading financial services companies.

Bank of America Merrill Lynch is committed to attracting, recruiting and retaining top diverse talent from across the globe. Our diversity and inclusion mission is to actively promote an inclusive work environment where all employees have the opportunity to achieve personal success and contribute to the growth of our business. Each of our global Employee Networks bring together employees, create dialogue and awareness in support of our Diversity and Inclusion mission.

Job Description The role will be engaged in the supervision of regulated broker/dealer activities. The role is delegated certain responsibilities for reviewing, approving and maintaining aspects of Global Banking and Markets supervisory surveillance to detect and address a violation of applicable law, regulation or internal policy. The role will perform varying levels of supervisory activities, depending on degree of business, supervisory, regulatory, compliance, and investment banking knowledge, in support of LOB Series 24 Supervisors overall supervision responsibilities. The GBAM E-Communications team is responsible for insuring Bank of America Merrill Lynch's compliance with applicable regulatory and statutory rules and regulations within the electronic communications space.

Required Skills:

  • Bachelor's degree in Business, Behavioral Science, or related field OR Associate's degree in Business or related field
  • 2 years experience in the securities industry or related field OR 4 years experience in the securities industry.
  • E-Communications Review - Uses e-communication surveillance tools and processes to prioritize, review, and evaluate the regulatory compliance of e-communications (e.g. e-mail, social media communications) for regulated employees designated by GBAM Compliance
  • Escalation Process & Reporting - Identifies, resolves, and escalates problematic e-communication trends, preparing reports and communicating compliance trends and violations to stakeholders (e.g., LOB leadership, GBAM Compliance, Legal) as appropriate
  • Mandarin and English language skills
Desired Skills:
  • 2 year or more experience in eCommunications review and analysis
  • 2 year or more experience working at Compliance, Operational Risk Management, or GBAM with a financial institution
  • Series 7 or corresponded local qualification holder
  • Prioritizes flagged communications for review based on the preliminary assessment of key indicators (e.g., subject headings, sender/receiver addresses)
  • Works with cross-functional stakeholders (e.g., Human Resources, Legal & Compliance Support Partners) to follow-up on and resolve issues identified during review process
  • Reviews and communicates compliance trends and violations to appropriate stakeholders (e.g., LOB leadership, GBAM Compliance, Legal) both verbally and in writing
  • Prioritizes flagged communications for review based on the preliminary assessment of key indicators (e.g., subject headings, sender/receiver addresses)

Bank of America Merrill Lynch is an equal opportunities employer

Posting Date: 05/02/2018
Location:
Hong Kong, , CHEUNG KONG CENTER, 2 QUEEN'S RD,
- Hong Kong

Full / Part-time: Full time
Hours Per Week: 40