Compliance Consultant Pleasanton, CA

Overview

Compliance Consultant job asanton, CA. Smarsh empowers its customers to manage risk and unleash intelligence in their digital communications. Our growing community of over 6500 organizations in regulated industries counts on Smarsh every day to help them spot compliance, legal or reputational risks in 80+ communication channels before those risks become regulatory fines or headlines.

Relentless innovation has fueled our journey to consistent leadership recognition from analysts like Gartner and Forrester, and our sustained, aggressive growth has landed Smarsh in the annual Inc. 5000 list of fastest-growing American companies since 2008.

Summary A Supervision Consultant is a unique role combining supervision and compliance services, customer success, and business development. In this role, the Supervision Consultant assists in the day-to-day delivery and growth of Smarsh Supervision Services. As a supervision consultant, 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.

• Onboard and serve as a primary point of contact for Assisted Review clients.
• Serve as a sales support resource, including sales call support, driving sales opportunities in existing and new clients, SOW review and delivery.
• Aid in (Responsible for) driving business development through client growth and service expansion.
• Build and maintain an advanced 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.
• Implement and assist in refining supervision policies to ensure customers are in compliance with legal and regulatory requirements.
• 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.

• 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.
• Confident in customer facing interactions.
• Ability to quickly grasp and explain technological and business concepts.
• Excellent written and verbal communicator.
• Familiarity with Supervision tools such as Global Relay, ProofPoint, Behavox, etc.
• Bachelor’s degree (especially in Business, Finance, Economics, Statistics, Accounting), Advanced degree (JD, MBA, MSF) preferred, or an equivalent combination of experience and education preferred.
• 5+ years’ experience in a financial services or regulatory agency environment.
• 3+ years’ business development, account management, or customer success experience, preferably for enterprise/SaaS product or services organization.
• 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.
• Strong client management and sales skills.

Salary
: $77,000 - $99,000 a year. The above salary range represents Smarsh's good faith and reasonable estimate of the range of possible base compensation at the time of posting. Any applicable bonus programs will be discussed during the recruiting process. The salary for this role will be set based on a variety of…