Position Title: E-Communications Surveillance Analyst
Division: Legal & Compliance
About the Role:
The Legal & Compliance Department at our client's firm is dedicated to upholding ethical standards, safeguarding the company's reputation, and fostering a compliance-driven culture.
As an Analyst, you will be part of their electronic surveillance team located in the New York and Chicago offices. This dynamic team focuses on developing and executing electronic surveillance strategies, reviewing alerts, and overseeing various projects.
Key Responsibilities:
- Conduct timely analysis of electronic communication alerts to detect and prevent market or company-damaging misconduct.
- Identify potential issues and promptly escalate them to stakeholders, while highlighting process deviations to senior management within the surveillance team.
- Contribute to the creation and refinement of conventional and Machine Learning models aimed at improving communication surveillance across areas such as conduct risk, compliance policies, and market manipulation.
- Conduct ad-hoc reviews of inbound, outbound, and internal correspondence as needed.
- Document and address potential regulatory/compliance concerns.
Requirements:
- Bachelor s degree in Legal, Finance, or a related field.
- 1-2+ years of legal/compliance or relevant experience, demonstrating a solid understanding of financial markets, products, services, and procedures.
- Experience in Broker-Dealer, Investment Advisor, or Banking compliance, supervision, or regulation is advantageous.
- Ability to thrive in ambiguous situations and think creatively under pressure.
- Capacity to manage multiple assignments/projects concurrently, meeting deadlines consistently.
- Strong written and verbal communication abilities.
- Proven initiative, analytical prowess, and unwavering integrity.
- Demonstrated sound judgment and perspective.
- Exceptional interpersonal skills, confidence, and composure.
- A self-motivated individual who values teamwork while being adept at working independently.
- A dedication to excellence, coupled with energy and intellectual acumen.
In accordance with New York City s Pay Transparency Law, the expected salary range for this role is 85,000 to 110,000. Base salary does not include other forms of compensation or benefits.