Overview: 

Support the first line of defense risk management function by assisting with the identification and assessment of risks, risk monitoring and testing, and issues management.

Primary Function:

Conduct daily surveillance of employee email, text, and social media posts in accordance with SEC requirements and Wilmington Trust Registered Investment Advisers (WT RIAs) and Wealth Management policies and procedures to mitigate risk by identifying noncompliant activity and preventing violations of Federal securities laws and Company policies and procedures.

Location: This is a hybrid position out of a corporate office within our footprint

Primary Responsibilities:     

• Conduct daily surveillance of employee email, text, and social media posts in accordance with SEC requirements and WT RIAs and Wealth Management policies and procedures to mitigate risk by identifying noncompliant activity and preventing violations of Federal securities laws and Company policies and procedures.

• Perform data stewardship of daily electronic file feeds of electronic communications activities into the Proofpoint monitoring and archival system.

• Assist in the onboarding of, and removal of, employees from the various surveillance systems.

• Identify risk-related issues for escalation to supervisor/management.

• Maintain a solid understanding of Firm policies and procedures and relevant regulations, including current regulatory priorities, to support detecting potential policy or regulatory violations by employees.

• Support various project and assignments related to the electronic messaging surveillance of employees. 

• May assist in development of, and training of business line personnel regarding, procedures and controls designed to ensure compliance with laws and/or regulations.

• Understand and adhere to the Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite. 

• Identify risk-related issues needing escalation to management.

• Promote an environment that supports diversity and reflects the M&T Bank brand.

• Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.

• Complete other related duties as assigned.

Education and Experience Required:              

Bachelor’s degree plus one (1) year of relevant work experience , or in lieu of a degree, a combined minimum of 5 years' higher education and/or work experience

Preferred Qualifications:

Familiarity with personal and institutional investing activities

Proficiency with Proofpoint surveillance/archival system

Ability to navigate social media sites

Risk Management

M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $27.24 - $45.40 Hourly (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.

Location:

Wilmington, Delaware, United States of America