- Review and analyze email and text message traffic for potential policy violations.
- Assist with monitoring and maintenance of email filters, whitelists, phishing and spam.
- Assist with lexicon updates.
- Maintain documentation of escalated issues and resolutions for security procedures and protocols.
- Assist with monitoring/tracking of electronic devices for potential policy breaches, suspicious activities, or unauthorized access.
- Maintain detailed records of surveillance activities, incidents and reports.
- Monitor systems to ensure they are functioning correctly, coordinate repairs with team members, IT and vendors as instructed.
- Participate in risk assessments and security audits to assist with identifying potential issues and recommending enhancements.
- Conduct electronic screening on a daily basis or as required, escalating issues and running analytics.
- Assist the team as needed with internal/external audit requests and regulatory inquiries including periodic employee certifications.
- Assist with ensuring the firm complies with relevant laws regulations and internal policies.
- Crosstrain with Compliance staff on routine responsibilities to assist as staff back-up when needed.
- Maintain an understanding of the firm's business services and relevant federal, SRO, and state regulations applicable to the firm.
- Handle sensitive information appropriately and securely, adhere to ethical guidelines and legal restrictions concerning the use of surveillance data.
- Additional tasks and special projects as requested.
- Two to five years of relevant broker-dealer and/or investment banking compliance or regulatory experience.
- Working understanding of applicable laws, regulations and guidance, particularly FINRA and SEC rules.
- Excellent verbal and written communication skills.
- Strong interpersonal and supervisory skills and the ability to work with all levels of personnel with a high degree of integrity and maturity.
- Maintain highly confidential information in an ethical, professional manner, and exhibit strong awareness and understanding of ethical principles.
- Possess excellent organizational skills and the ability to work effectively under pressure.
- College degree required.
- Appropriate financial industry licenses strongly preferred.
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Compliance Administrator - Los Angeles, United States - Houlihan Lokey
Description
Business Unit:Compliance
Industry:
CORP - Corporate
Overview
Houlihan Lokey (NYSE:HLI) is a global investment bank with expertise in mergers and acquisitions, capital markets, financial restructuring, and valuation. The firm serves corporations, institutions, and governments worldwide with offices in the United States, Europe, the Middle East, and the Asia-Pacific region. Independent advice and intellectual rigor are hallmarks of the firm's commitment to client success across its advisory services. Houlihan Lokey is the No. 1 investment bank for all global mergers and acquisitions (M&A) transactions, the No. 1 M&A advisor for the past seven consecutive years in the U.S., the No. 1 global restructuring advisor for the past eight consecutive years, and the No. 1 global M&A fairness opinion advisor for the past 20 years, all based on number of transactions and according to data provided by Refinitiv. For more information, please visit
Description
The Compliance Administrator works closely with the Chief Compliance Officer and Compliance Department team members on a variety of projects related to business email and text message reviews, internal audits, statistics and certifications, administrative tasks, and special projects.
This is a hybrid working position which requires you to attend our LA office a minimum of two days a week. Please note, at the start of your employment, there will be an initial 6 month training period which will require you to be in the office full-time for its duration.
Primary Responsibilities
Houlihan Lokey is committed to providing its employees with an exciting career opportunity and competitive total compensation package, which may include other components such as discretionary incentive compensation. The firm's good faith and reasonable estimate of the possible salary range for this role at the time of posting is:
$36.00-$48.00
Actual salary at the time of hire may vary and may be above or below the range based on various factors, including, but not limited to, the candidate's relevant qualifications, skills, and experience and the location where this position may be filled.
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, protected veteran status, or any other characteristic protected by law.
