Regulatory Technology Management:
- Work with regulatory technologies such as Smarsh and ZL to streamline compliance processes.
- Stay updated on the latest developments in regulatory technologies and recommend improvements to enhance operational efficiency.
Data Feed Design and Implementation:
- Design and implement data feeds utilizing XML and various ingestion/transmission protocols (APIs, SMTP, SFTP).
- Collaborate with IT and data teams to optimize data ingestion processes and ensure data integrity.
Data Analysis and Efficiency Enhancement:
- Analyze data flow and transmission issues, providing solutions to enhance efficiency and reliability.
- Utilize strong Excel skills to analyze compliance data and generate detailed reports for stakeholders.
- Identify trends and insights from compliance and operational data to support data-driven decision-making.
Documentation and Compliance:
- Create and maintain comprehensive documentation for processes, workflows, and compliance requirements.
- Ensure all documentation is up-to-date and easily accessible for audit purposes.
ServiceNow Management:
- Leverage ServiceNow for incident management and workflow optimization related to compliance and engineering processes.
- Collaborate with teams to enhance ServiceNow functionalities for tracking compliance initiatives.
E-Communications Compliance:
- Support the development and implementation of e-communications compliance frameworks, ensuring adherence to archiving regulations.
- Conduct regular audits to verify compliance with regulatory requirements and internal policies.
- Assist in risk assessment and control evaluations related to e-communications.