E-Communications Compliance Surveillance Analyst

E-Communications Compliance Surveillance Analyst

Legal & Compliance Team

My client's Legal & Compliance Department safeguards the company's integrity, ensuring ethical conduct and fostering a compliance-focused culture.

This Analyst role involves joining our electronic surveillance team in New York and Chicago. This team is responsible for developing and executing electronic surveillance, reviewing alerts, and managing projects.

Responsibilities include:

Analyzing electronic communication alerts promptly to prevent market or firm misconduct.

Identifying and escalating potential concerns to stakeholders and senior management.

Contributing to the development of conventional and Machine Learning models to enhance communication surveillance.

Conducting ad-hoc reviews of various forms of correspondence.

Identifying, documenting, and resolving regulatory/compliance issues.

Qualifications:

Bachelor’s degree in Legal, Finance, or related field.

1-2+ years of legal/compliance or similar experience, with knowledge of financial markets.

Experience in Broker-Dealer, Investment Advisor, or Banking compliance is advantageous.

Ability to work creatively in ambiguous situations, multitask, and meet deadlines.

Strong written and verbal communication skills.

Initiative, analytical skills, and integrity.

Sound judgment and interpersonal skills.

Team-oriented, yet capable of independent work.

Passion for excellence and high energy.

In accordance with the NYS Pay Transparency Law, the salary range for this role is $36-44/hour.