Description & Requirements
Role overview:
The Electronic Communications Surveillance Analyst is responsible for monitoring, reviewing, and investigating employee electronic communications to identify potential violations of regulatory requirements, firm policies, market conduct rules, and ethical standards. The role supports the firm's compliance and risk management framework by conducting surveillance across email, chat, messaging platforms and other digital communication channels.
Key Responsibilities:
Surveillance Monitoring
Review alerts generated by communications surveillance systems
Monitor employee communications across email, Bloomberg Chat, Slack, and mobile messaging platforms
Identify indicators of market abuse, insider trading, bribery and corruption, conflicts of interest, misconduct, or policy breaches
Perform targeted reviews and ad hoc searches based on emerging risks or regulatory requests
Investigations
Analyze potentially suspicious communications and related business activity
Escalate issues to Compliance, Legal, Human Resources, or senior management
Support internal investigations, audits, and regulatory examinations
Program Enhancement
Recommend process improvements to increase surveillance effectiveness
Participate in system upgrades, testing, and implementation of new surveillance technologies
Help tune alert parameters to reduce false positives and improve detection quality
Skills & Experience
Essential
Bachelor's degree
1-3 years of experience in compliance, surveillance, risk management, investigations, or financial services
Strong analytical and investigative skills
Excellent written and verbal communication abilities
High attention to detail and ability to handle sensitive information confidentially
Proficiency in Microsoft Excel, Word, and PowerPoint
Ease with technology and learning new systems
Desirable
Experience using communications surveillance, eDiscovery, or compliance monitoring platforms (e.g., Bloomberg Vault, Behavox, Smarsh, Global Relay, SteelEye, Relativity, or similar) is a plus.
Knowledge of securities regulations and market conduct rules
Personal Attributes
Investigative mindset
Critical thinking
Regulatory awareness
Risk assessment
Documentation and report writing
Time management and prioritization
Ethical judgment and integrity
Salary Range = 130,000 - 160,000 USD Annual + Benefits + Bonus
The referenced salary range is based on the Company's good faith belief at the time of posting. Actual compensation may vary based on factors such as geographic location, work experience, market conditions, education/training and skill level.
We offer one of the most comprehensive and generous benefits plans available and offer a range of total rewards that may include merit increases, incentive compensation (exempt roles only), paid holidays, paid time off, medical, dental, vision, short and long term disability benefits, 401(k) +match, life insurance, and various wellness programs, among others. The Company does not provide benefits directly to contingent workers/contractors and interns.
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