E-Surveillance Analyst
A financial services firm is seeking a Detail-Oriented E-Surveillance Analyst to join its compliance team. This role is responsible for monitoring electronic communications to ensure adherence to regulatory requirements and internal policies. The ideal candidate will play a key role in identifying potential risks, detecting suspicious activities, and maintaining the integrity of firm operations.
Key Responsibilities:
Monitor and review electronic communications (e.g., email, chat, text messages) to ensure compliance with regulatory and internal standards.
Identify and escalate potential violations, suspicious activities, or misconduct that could indicate regulatory breaches or fraud.
Conduct investigations of flagged activities and document findings in a structured and concise manner.
Assist in developing and refining surveillance policies, procedures, and best practices to enhance monitoring effectiveness.
Conduct and manage E-Discovery requests as required.
Prepare reports and metrics for management, summarizing surveillance findings and trends.
Stay informed on regulatory developments, industry trends, and emerging risks to improve surveillance efforts.
Support training initiatives by educating staff on surveillance-related compliance requirements.
Qualifications & Experience:
2-4 years of experience in compliance, surveillance, or a related role within a broker-dealer, financial institution, or regulatory body.
Strong understanding of SEC, FINRA, and other applicable regulatory requirements.
Proficiency with e-surveillance tools such as Global Relay, Actimize, Smarsh, or similar platforms.
Excellent analytical skills with the ability to identify patterns and anomalies in communications.
Strong written and verbal communication skills, with the ability to present findings effectively.
High level of attention to detail and accuracy.
Ability to work independently and collaboratively in a fast-paced environment.