Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance and Employee Licensing Compliance (SELC) team responsible for the design, implementation, and oversight for a suite of surveillances and related functions designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. . The ICRM Global SELC platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, mandatory absence, and information barrier surveillance.
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