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Electronic Communications Compliance Specialist

2 months ago

Atlanta, Georgia, United States OppenheimerFunds Distributor, Inc Full time

Position Overview

About the Organization
OppenheimerFunds Distributor, Inc. is dedicated to delivering exceptional, client-focused technology solutions that enhance competitive edge, expand our global reach, and provide an investment experience that enriches lives. Our success is fueled by innovative and collaborative teams that thrive on mutual trust and diversity of thought. We prioritize our people, investing in their growth through continuous learning and development opportunities, exposure to cutting-edge technologies, and an environment that fosters exploration.

Our dynamic technology team is in search of candidates who are innovative, adept at navigating agile environments, willing to challenge conventional practices, and committed to achieving excellence.

As an Electronic Communications Compliance Specialist, your primary responsibility will be to ensure that OppenheimerFunds adheres to global regulatory standards and internal policies regarding electronic communications. You will design, implement, test, and troubleshoot systems and processes that capture, archive, and monitor all forms of electronic communication utilized in a business context, including email, chat, SMS, social media, voice, and video communications. Additionally, you will leverage tools that facilitate the search, review, analysis, and export of electronic communication data for compliance, legal, and audit purposes. Collaboration with compliance, legal, and audit teams will be essential to support the preservation, collection, and production of electronic communication data in response to regulatory inquiries, investigations, and litigation.

Key Responsibilities
The Electronic Communications Compliance Specialist will focus on delivering projects related to archiving and monitoring solutions for electronic communications.

Enhance the effectiveness of archiving, journaling, and monitoring solutions. Understand the financial services requirements for capturing electronic communications across all applications, including regulatory standards, best practices, and industry trends. Safeguard the confidentiality and integrity of electronic communication systems, ensuring the security and privacy of data while preventing unauthorized access or disclosure. Uphold ethical and professional standards in all electronic communications, avoiding inappropriate or misleading content, as well as conflicts of interest or market manipulation. Adhere to regulatory recordkeeping requirements, including the retention, archiving, and production of electronic communication data in compliance with applicable laws. Follow organizational policies and procedures, including compliance with approved applications for electronic communication, reporting any violations, and cooperating with compliance, legal, and audit teams.

Your Contributions Will Include:

Analyzing requirements, designing, building, and testing solutions and enhancements. Taking ownership of project assignments and ensuring successful implementation. Participating in meetings related to new build activities. Engaging with the team to develop detailed plans for new and ongoing projects. Acting as a coordinator/implementer for assigned project activities. Identifying opportunities for improvement within the team and driving those initiatives. Assisting in streamlining and enhancing system efficiencies through effective use of technology and creative problem-solving. Contributing to the migration of on-premises applications to cloud-based solutions. Collaborating with other technology teams to deliver exceptional services from an infrastructure perspective. Coaching and mentoring the operations team to prepare them for ownership and support of new services. Preparing necessary documentation and processes to ensure ongoing support of systems.

Required Experience

A minimum of 3 years of experience in electronic communications compliance, archiving, and discovery within the financial services sector. Strong working knowledge of journaling and archiving solutions specific to the financial industry. Familiarity with financial services requirements for capturing electronic communications across various applications, including eDiscovery and surveillance solutions. Experience with Enterprise Vault Archiving, Journaling, and knowledge of Discovery and Compliance Accelerator. Proficiency with third-party connectors for capturing various forms of electronic communication, including email, chat, and SMS. Knowledge of O365 Security and Compliance Center. A security-minded approach to electronic communications.

Employment Type

Full-time

Worker Type

Employee

Job Exempt Status

No

Workplace Model

At OppenheimerFunds, our workplace model is designed to support our culture and meet client needs while providing the flexibility our employees value. As a full-time employee, compliance with the workplace policy entails working with your direct manager to establish a schedule that includes at least three days in the office and two days working remotely.

Benefits

Our employees are at the heart of our success. OppenheimerFunds offers a comprehensive compensation and benefits package, including:

Flexible paid time off Hybrid work schedule 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution Health and wellness benefits Parental leave benefits Employee stock purchase plan

The information provided in this description is intended to convey the general nature and level of work performed by employees in this role. It is not designed to be a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this position. The job holder may be required to perform additional duties as deemed appropriate by their manager.

OppenheimerFunds is committed to fostering an inclusive culture and promoting diversity in the workplace. We are proud to be an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable U.S. state and federal laws governing non-discrimination in employment.