Broker-Dealer Fraud & Privacy Controls Analyst

Seneca Resources; Pennsylvania; Híbrido; USD 63.000 - 77.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Target bonus

Partnership bonus

Hybrid work schedule

Health, dental, and vision coverage

Descripción de la vacante

Seneca Resources seeks a detail-oriented Privacy Incident and Compliance Analyst to research, investigate, document, and resolve potential privacy incidents while supporting regulatory compliance and risk-mitigation initiatives. This role targets a financial services professional with securities licensing who is passionate about protecting client data and strengthening privacy controls.

This position follows a hybrid schedule: work from home on Mondays and Fridays, with in-office work on

Formación

• Active SIE, Series 7, and Series 63 licenses; Series 7 and Series 63 must be obtained before submission.
• Bachelor's degree or an equivalent combination of education, training, and experience.
• At least one year of relevant professional experience.
• Experience in data privacy, privacy incident response, regulatory compliance, fraud prevention, risk management, or controls is preferred.
• Knowledge of Personal Wealth processes and systems is preferred, or demonstrated ability to quickly develop that expertise.
• Strong written communication, editing, documentation, and analytical skills.
• Ability to investigate complex issues, identify control gaps, and recommend risk-mitigation actions.

Responsabilidades

• Research and review reports submitted through fraud hotlines and other reporting channels.
• Analyze potential privacy incidents, conduct investigations, identify root causes, and support timely resolution.
• Escalate complex or high-risk matters and obtain required approvals for corrective actions.
• Prepare privacy incident correspondence and respond to routine privacy-related inquiries.
• Follow guidance from Global Privacy and Legal Privacy teams.
• Assess potential control failures and collaborate with management and business partners to address high-risk scenarios.
• Maintain written procedures related to privacy incident management and coordinate the distribution of updated policies and procedures.
• Monitor regulatory requirements, privacy procedures, and industry developments.
• Support privacy incident prevention through awareness programs, training, and reinforcement of best practices.
• Maintain accurate investigation documentation and communicate findings clearly to stakeholders.
• Participate in special projects and perform additional duties as assigned.

Conocimientos

Privacy incident

Regulatory compliance

Fraud prevention

Risk management

Data privacy

Analytical

Written communication

Documentation

Attention to detail

Independent work

Cross-functional

Investigations

Educación

Bachelor's degree

Descripción del empleo

Seneca Resources seeks a detail-oriented Privacy Incident and Compliance Analyst to research, investigate, document, and resolve potential privacy incidents while supporting regulatory compliance and risk-mitigation initiatives. This role targets a financial services professional with securities licensing who is passionate about protecting client data and strengthening privacy controls.

This position follows a hybrid schedule: work from home on Mondays and Fridays, with in-office work on